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Eccleston Law Blog

Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

March 13th, 2026 at 10:32 AM
Federal prosecutors announced that investment adviser John A.
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Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

March 12th, 2026 at 11:17 AM
Cape Coral, Florida, long a magnet for out-of-state real estate investors, now illustrates the growing risks of private lending in residential development.
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SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

March 11th, 2026 at 11:17 AM
The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.
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Northern Trust Faces $35 Million Elder Abuse Lawsuit Over Alleged Trust Theft

March 10th, 2026 at 10:48 AM
Northern Trust faces a lawsuit seeking at least $35 million in damages over allegations that its former vice president stole millions from a $20 million legacy trust belonging to an elderly beneficiary, according to ThinkAdvisor.
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SEC Alerts Investors as to the Relationship Investment Scam

March 9th, 2026 at 1:04 PM
The Securities and Exchange Commission (SEC) has alerted investors that fraudsters increasingly rely on relationship-based investment schemes to steal money.
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Modern Fraud Schemes Escalate in Scale and Sophistication

March 4th, 2026 at 12:37 PM
A recent panel discussion at the Financial Services Institute OneVoice conference in San Diego highlighted how rapidly evolving fraud schemes continue to victimize both retail and wealthy investors.
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FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

March 3rd, 2026 at 2:00 PM
The Financial Industry Regulatory Authority (FINRA) suspended a former Stifel, Nicolaus & Co.
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FINRA Suspends Cetera Broker for Accepting $50,000 Client Bequest Without Firm Approval

March 2nd, 2026 at 2:01 PM
The Financial Industry Regulatory Authority (FINRA) imposed a $10,000 fine and a seven-month suspension on an independent broker for accepting a $50,000 bequest from a client without obtaining prior firm approval.
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Eighth Circuit Rejects Emergency Injunction in Advisor Departure Dispute

February 27th, 2026 at 12:21 PM
A federal appeals court ruled against an advisory firm seeking immediate, injunctive relief after a team of advisors left with hundreds of millions in client assets.
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FINRA Bars Former Cambridge Advisor After Refusal to Cooperate With Communications Probe

February 26th, 2026 at 3:35 PM
A former advisor affiliated with Cambridge Investment Research has been barred from the securities industry after declining to comply with a regulatory investigation, according to the Financial Industry Regulatory Authority (FINRA).
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LATEST NEWS AND ARTICLES

1774622627 Law
March 27, 2026
FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shankar alleging he forged customer signatures on annuity paperwork to obtain commissions, according to ThinkAdvisor.

1774540693 Law
March 26, 2026
FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.

1774452488 Law
March 25, 2026
Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

The collapse of Inspired Healthcare Capital has left investors facing significant losses and has intensified legal exposure for broker-dealers and financial advisors who sold the company's private offerings.