• Morgan Stanley to Pay Adviser $2.5M in a Defamation Claim

      Morgan Stanley to Pay Adviser $2.5M in a Defamation Claim Posted on Thursday, August 25, 2016 at 8:42 AM From the Desk of Jim Eccleston at Eccleston Law LLC: An independent adviser named Dale Cerbert of The Villages, Florida was awarded $2.5 million by FINRA relating to a defamation claim he made against Morgan Stanley after his dismissal from the firm. Mr.

      Eccleston Law Offices- 36 readers -
    • Morgan Stanley Sued for Mismanaging 401(k) Plan

      Morgan Stanley Sued for Mismanaging 401(k) Plan Posted on Monday, September 12, 2016 at 8:55 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Last month, a lawsuit was filed against Morgan Stanley in Manhattan federal court. Morgan Stanley was accused of mismanaging the firm’s 401(k) retirement plan and costing 60,000 employees hundreds of millions of dollars by pic ...

      Eccleston Law Offices- 22 readers -
    • Selling Away (From the Firm) Leads Advisor to Stiff Penalties

      Selling Away (From the Firm) Leads Advisor to Stiff Penalties Posted on Wednesday, May 18, 2016 at 3:12 PM From the Desk of Jim Eccleston at Eccleston Law LLC: The Financial Industry Regulatory Authority (FINRA) has continued to enforce advisor violations with strict measures. An advisor from Darien, Connecticut has found himself on the wrong side of the law after failing ...

      Eccleston Law Offices- 12 readers -
  • Morgan Stanley to Pay an $8 Million Penalty

    Morgan Stanley to Pay an $8 Million Penalty Posted on Wednesday, February 22, 2017 at 8:59 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC. According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its po ...

    Eccleston Law Offices- 11 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    New Recommendations by the FINRA Dispute Resolution Task Force Posted on Friday, February 17, 2017 at 3:37 PM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the second in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC).

    Eccleston Law Offices- 8 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    New Recommendations by the FINRA Dispute Resolution Task Force Posted on Friday, February 17, 2017 at 3:37 PM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the second in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC).

    Eccleston Law Offices- 10 readers -
  • FINRA Expels Red River Securities

    FINRA Expels Red River Securities Posted on Thursday, February 16, 2017 at 9:21 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Red River Securities, a Plano, Texas-based broker-dealer, has been expelled from FINRA for fraudulent sales in five oil and gas joint ventures. In addition, the firm was ordered to pay $24.6 million in restitution to its customers.

    Eccleston Law Offices- 11 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    New Recommendations by the FINRA Dispute Resolution Task Force Posted on Wednesday, February 15, 2017 at 9:03 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the first in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC).

    Eccleston Law Offices- 12 readers -
  • Net 204 Brokers Left Wells Fargo in the Fourth Quarter

    Net 204 Brokers Left Wells Fargo in the Fourth Quarter Posted on Monday, February 13, 2017 at 12:07 PM From the Desk of Jim Eccleston at Eccleston Law LLC: Across its private client, independent brokerage and in-bank brokerage channels, Wells Fargo Advisors experienced a net loss of 204 brokers during the fourth quarter of this past year.

    Eccleston Law Offices- 11 readers -
  • SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

    SEC Bars Connecticut Investment Adviser For Concealing Referral Fee Posted on Friday, February 10, 2017 at 12:21 PM From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee. Mr. Rafal, the former president and chief executive of Essex Financial Services, Inc.

    Eccleston Law Offices- 10 readers -
  • Former Texas Registered Rep Arrested for Internet Ponzi Scheme

    Former Texas Registered Rep Arrested for Internet Ponzi Scheme Posted on Wednesday, February 8, 2017 at 9:31 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to the multi-million-dollar sale of inves.

    Eccleston Law Offices- 11 readers -
  • President Trump's Memo is Unclear on Directive to Delay DOL Fiduciary Rule

    President Trump’s Memo is Unclear on Directive to Delay DOL Fiduciary Rule Posted on Tuesday, February 7, 2017 at 9:19 AM From the Desk of Jim Eccleston at Eccleston Law LLC: President Trump has sent a memo regarding the Department of Labor’s fiduciary duty rule. Most notably, the memo does not direct the Department of Labor to delay the rule and it does not tell the agenc ...

    Eccleston Law Offices- 11 readers -
  • SEC Charges Connecticut Based Investment Advisory Firm With Stealing Investor Funds

    SEC Charges Connecticut Based Investment Advisory Firm With Stealing Investor Funds Posted on Monday, February 6, 2017 at 9:07 AM From the Desk of Jim Eccleston at Eccleston Law LLC: The Securities and Exchange Commission has charged a Connecticut-based investment advisory firm, Sentinel Growth Management and its founder Mark J. Varacchi with stealing money from investors.

    Eccleston Law Offices- 11 readers -
  • Four Steps to Successfully Transition a Practice

    Four Steps to Successfully Transition a Practice Posted on Sunday, February 5, 2017 at 8:27 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Daniel Schwamb, a senior vice president of business development at Kestra Financial, has written an article detailing four steps he believes are crucial in order to successfully transition a practice from one advisory platform to another.

    Eccleston Law Offices- 11 readers -
  • FINRA Discipline: FINRA Rule 9269

    FINRA Discipline: FINRA Rule 9269 Posted on Tuesday, January 31, 2017 at 9:16 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9269 discusses the issuance of a default judgment against a respondent who fails to answer a complaint within the r ...

    Eccleston Law Offices- 11 readers -
  • FINRA Discipline: FINRA Rule 9268

    FINRA Discipline: FINRA Rule 9268 Posted on Saturday, January 28, 2017 at 10:00 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9268 states that within 60 days after the final date allowed for filing proposed findings of fact, conclusions of la ...

    Eccleston Law Offices- 13 readers -

Eccleston Law Offices

Eccleston Law Office represents advisors & investors in securities & employment matters in Chicago, New York & Sarasota and has a proven success rate.

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  3. 367 posts, read by 5,111 readers
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Facts last updated: (2017-02-23 17:05:37 UTC). Update Frequency for posts: 15 minutes. Posts last updated: .
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