News & Updates

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Former Advisor Faces Lawsuit Over Mishandling of Premium-Financed Life I...

Joshua L. Gottlieb, barred by FINRA in 2017, faces a lawsuit alleging significant financial harm to a client following the sale of a premium-fin...

Merrill Lynch Agrees to $4.9 Million Settlement in Overtime Pay Dispute

Merrill Lynch will pay $4.9 million to resolve a class action lawsuit filed by current and former salaried Financial Solutions Advisors (FSAs) w...

Former Morgan Stanley Advisor Sanctioned for Undisclosed Hotel Business

FINRA has fined Chris S. Stocks, a former Morgan Stanley advisor, $10,000 and suspended him for 30 days for failing to disclose his involvement ...

JPMorgan Fined $1.8 Million by Singapore Regulator for Misconduct in Bon...

The Monetary Authority of Singapore (MAS) fined JPMorgan Chase & Co. $1.8 million for failing to prevent and detect misconduct by its relati...

Next Level Holdings and Yield Wealth Under Federal and State Investigation

Federal and state authorities are investigating Next Level Holdings and Yield Wealth, two investment firms accused of offering high-yield financ...

James Eccleston Named 2025 Preeminent Attorney

James Eccleston has been awarded the highest possible rating in legal ability by Martindale-Hubbell.

Goldman Sachs Launches First-of-its-Kind Bond Securitization

Goldman Sachs recently introduced a $475 million asset-backed securitization (ABS) deal backed by capital-call loans, a type of financing Goldma...

James Eccleston Named Leading Lawyer for 2025

James Eccleston has been officially recognized by peers as a Leading Lawyer for 2025!

Understanding Alternative Investments and Risk Management

Alternative investments once again are gaining traction, according to a recent article in InvestmentNews.

FINRA Sanctions Over 60 Advisors for Continuing Education Violations

FINRA has disciplined 62 advisors for cheating on New York’s continuing education (CE) requirements tied to insurance license renewals.&nb...

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FINRA Orders $8.2 Million in Customer Restitution Over Mutual Fund Fee E...

FINRA has required Edward Jones, Osaic Wealth, and Cambridge Investment Research to reimburse customers a combined total of more than $8.2 milli...

James Eccleston Awarded Spot in 2025 Illinois Super Lawyers List

Attorney James Eccleston has been selected for the 2025 Illinois Super Lawyers List, an honor given exclusively to lawyers who exhibit excellenc...

Wells Fargo and LPL Financial Settle SEC Charges Over Blue Sheet Reporti...

The Securities and Exchange Commission (SEC) announced settlements with Wells Fargo Clearing Services and LPL Financial, each agreeing to pay a ...

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