Search for: "Jim Eccleston"
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9 Sep 2015, 6:16 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Cetera Financial Group will shut down J.P. [read post]
23 Dec 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: A panel of securities industry arbitrators awarded two military personnel $7.6 million for wrongful discharge and for violations of USERRA, the federal law that protects military personnel from workplace harassment and retaliation. [read post]
15 Jul 2015, 9:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Li-Lin Hsu was fired from Ameriprise Financial after listing herself as a beneficiary on an insurance product she sold to a client. [read post]
11 Apr 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: A FINRA arbitration panel ordered Robert W. [read post]
13 Jun 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Jeffrey M. [read post]
7 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Several Ohio residents were charged by the SEC with defrauding nearly $21 million from approximately 50 people in a Ponzi scheme. [read post]
22 Oct 2014, 8:52 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Frank Spinosa, a former regional vice president of TD Bank, has been charged for his involvement in jailed attorney Scott Rothstein’s $1.4 billion Ponzi scheme. [read post]
1 Jul 2015, 10:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In its latest round of restructuring, Morgan Stanley has altered the number of management roles at their branch, complex and regional levels. [read post]
3 Jun 2015, 12:47 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC charges that Gray Financial Group has breached its fiduciary duty by steering pension fund clients in the city of Atlanta to invest in products owned by the company. [read post]
17 Jun 2015, 5:30 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has charged a Miami investment adviser after discovering he was running a Ponzi scheme through his fund, Sterling Investment Fund. [read post]
24 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Patric Baccam, a former Centaurus Financial broker, allegedly was involved in outside business activities. [read post]
15 Sep 2016, 9:41 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has settled charges alleging violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-7 with Raymond James & Associates (“Raymond James”) and Robert W. [read post]
11 Jun 2015, 2:04 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Alan H. [read post]
6 Oct 2015, 10:42 am
From the Desk of Jim Eccleston at Eccleston Law LLC:According to the New York Times, a Connecticut based hedge fund, Spruce Alpha LP Fund, misrepresented its performance to investors and has lost 48% of its value during the month of August 2015.Spruce Alpha, managed by Spruce Investment Advisors, was launched a year ago and reportedly used a complex and controversial trading strategy that involved derivatives to amplify returns from trading in exchange-traded funds, or… [read post]
11 Jun 2015, 5:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Veros Partners, an investment advisor located in Indiana, and its president Michael Haab, have been charged by the SEC for allegedly running a $15 million Ponzi scheme.From 2013 to 2014, Habb allegedly mislead investors attempting to invest in farm loan venture securities, known as Veros Farm Loan Holding and FarmGrowCap. [read post]
3 Sep 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Gignesh Movalia, a former Florida based registered broker, has pled guilty to an investment fraud.Movalia was the founder and manager of OM Global Investment Fund LLC, an investment fund formed in 2009. [read post]
29 Oct 2015, 2:10 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Wells Fargo currently faces allegations that its employee deferred-compensation plans are in violation of Texas state laws.The complaint states that the “financial advisor forfeits their rightly owned deferred-compensation if they become ‘associated’ (not employed) with ‘any financial services business’(un-defined in the Plan), in any global location, regardless of whether that advisor… [read post]
7 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Patrick G. [read post]
16 May 2016, 9:28 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Signature Bank has become one of the largest American banks, with $33 billion in assets. [read post]
7 Feb 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices:Fidelity Investments Group, the third-largest custodian as ranked by the number of registered investment adviser clients, recently has been fined $350,000 by FINRA for overcharging more than 20,000 clients a total of $2.4 million.Between January 2006 and September 2013, Fidelity inappropriately charged for certain transactions in fee-based accounts in its Institutional Wealth Services group, which provides trading and… [read post]
