Search for: "Jim Eccleston"
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10 Feb 2017, 9:51 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has barred Connecticut investment adviser John W. [read post]
4 Nov 2016, 9:16 am
From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has barred the President, Treasurer, Chief Compliance Officer and shareholder of Veros Partners, Inc. named Matthew D. [read post]
28 Mar 2017, 6:55 am
From the Desk of Jim Eccleston at Eccleston Law LLC: A federal judge in Rhode Island sentenced adviser, Patrick Churchville, to 7 years in prison for conducting a $21 million dollar Ponzi scheme with 100 of his clients. [read post]
12 Apr 2011, 9:20 am
Please contact Jim Eccleston at the Eccleston Law Offices at 312-332-0000 to discuss your recovery options. [read post]
9 Dec 2010, 7:21 am
Contact Jim Eccleston at the Eccleston Law Offices at 312-332-0000 for more information. [read post]
22 Sep 2016, 7:03 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Ameriprise was fined $850,000 by FINRA because it failed to superviseone of its registered representatives. [read post]
18 Nov 2014, 1:51 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Kevin James, an independent financial advisor in Indianapolis, has been sentenced to 10 years in prison for orchestrating an investment fraud. [read post]
21 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Perry Sawano pled guilty to swindling investors in a $4.8 million Ponzi scheme between 2007 and 2013. [read post]
4 Nov 2015, 11:09 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Financial Industry Regulatory Authority (FINRA) continues to fine broker dealers for charging improper fees for mutual funds. [read post]
18 Feb 2015, 8:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices:Many wirehouses have deferred compensations for their advisors. [read post]
19 Mar 2015, 2:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has barred a California-based RIA from the industry after the firm was charged with misleading investors - including falsely claiming that its fund was “SEC approved. [read post]
12 Aug 2015, 8:42 am
From the Desk of Jim Eccleston at Eccleston Law LLC: New York-based Aegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stock and anti-money laundering supervisory lapses.FINRA asserts that, from April 2009 to June 2011, Aegis liquated 3.9 billion shares of penny stocks which were not registered with the SEC. [read post]
29 Aug 2016, 1:03 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:In the beginning of this year, the CFP Board took away any CFPs’ rights to sue the Board in court and imposed a new mandatory arbitration policy. [read post]
11 Sep 2015, 11:25 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A Texas based broker-dealer, WFG Investments, has been fined by Texas Securities Commissioner John Morgan for failing to determine whether the sales of alternative investments exposed clients to excessive risks.WFG failed to ensure that its brokers were selling suitable investments and failed to monitor how large a percentage of a customer’s account could be held in alternative investments, such as real estate… [read post]
21 Jul 2014, 5:57 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Abraxas J. [read post]
27 Oct 2015, 1:48 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank officially may become part of Wells Fargo.Wells Fargo appears to be the bid winner.A common prediction is that most of the advisors with Credit Suisse will end up on Wells Fargo’s UHNW platform - Abbott Downing. [read post]
19 Jun 2015, 7:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC filed two cases against Todd M. [read post]
4 Oct 2016, 7:08 am
From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has issued an enforcement order against former millionaire Karl Hahn of New Hampshire as he awaits sentencing on November 22 for a $2 million fraud scheme in the U.S. [read post]
5 Sep 2014, 2:03 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Anthony Diaz, a broker from Pennsylvania has agreed to charges by the FINRA that he made unsuitable investments. [read post]
17 Aug 2015, 2:17 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Bank of America has recently fired a broker who was formerly in charge of $2.5 billion in assets. [read post]
