FINRA arbitrators recently awarded a former RBC Wealth Management advisor nearly $9.7 million in damages for age and gender discrimination claims.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
Tony earned his law degree from Gonzaga University School of Law and has practiced law in Arizona for over 30 years. He began his legal career with the Maricopa County Public Defender’s Office as a criminal defense attorney, and then practiced law with the Securities Division of the Arizona Corporation Commission as an Enforcement Attorney. Before attending law school, Tony passed the Series 7 and the Series 63 securities license exams.
Tony focuses much of his practice on representing investors as well as financial advisors and other individuals in investigations and prosecutions by the Securities Division of the Arizona Corporation Commission and by FINRA (Financial Industry Regulatory Authority).
FINRA arbitrators recently awarded a former RBC Wealth Management advisor nearly $9.7 million in damages for age and gender discrimination claims.
According to InvestmentNews, the Securities Industry and Financial Markets Association (SIFMA) released a whitepaper criticizing the Certified Financial Planner (CFP) Board’s standards enforcement, asserting it operates as a “de facto, private
regulator.”
The Financial Industry Regulatory Authority (FINRA) has barred Imdadur “Gino” Rahman, a former Merrill Lynch advisor for multiple compliance violations involving his relationship with an elderly client.