James Eccleston

Securities and financial services employment lawyer at Eccleston Law by day, baseball and basketball coach and player all other times.

[James Eccleston @ecclestonlaw]

JUST IN: Victims of financial fraud may soon see crucial tax relief. The House overwhelmingly passed legislation to restore tax deductions for those impacted by investment scams.

Learn what this means for investors. 👉 https://t.co/nZ5Js75vZc

[James Eccleston @ecclestonlaw]

Crackdown alert: Federal prosecutors are targeting multimillion-dollar investment schemes involving promissory notes. Two recent fraud cases alone caused investor losses of more than $25 million.

Get the details from Eccleston Law. 👉 https://t.co/VSiI7KFMa6

[James Eccleston @ecclestonlaw]

APPROVED: The SEC has officially greenlit FINRA's long-awaited overhaul of rules governing outside business activities and private securities transactions.

Learn how these major changes will impact financial advisors. 👉 https://t.co/ciuXEjaI7H

[James Eccleston @ecclestonlaw]

SENTENCED: Texas investment adviser Siddharth Jawahar of Swiftarc Capital will serve 11 years in federal prison for running a massive $35 million Ponzi scheme.

Read the latest updates on our blog. 👉https://t.co/BNxmXAo3G1

[James Eccleston @ecclestonlaw]

SEC Crackdown: A California investment adviser faces a 3-year industry bar and $266K in sanctions for unauthorized trades, misusing confidential client data, and concealing his termination.

https://t.co/JBLBPSZpBk

[James Eccleston @ecclestonlaw]

NEW: FINRA is pushing for stronger investor defense. Three proposed rules have been sent to the SEC targeting expanded fraud protections and trusted contact flexibility.

Read the latest regulatory breakdown from Eccleston Law. 👉 https://t.co/KAzmTuoZke

[James Eccleston @ecclestonlaw]

INVESTOR ALERT: The SEC has issued a warning regarding a surge in "pre-IPO" investment scams. Fraudsters are falsely offering shares of private companies before they go public.

Learn how to spot the red flags and protect your portfolio. 👉 https://t.co/lV4n9E7Zqt

[James Eccleston @ecclestonlaw]

Tech issues persist: Wells Fargo Advisors brokers are still being forced to place trading orders manually via phone and email as an outside vendor disruption enters its second week.

https://t.co/HT9U0ukic7

[James Eccleston @ecclestonlaw]

BREAKING: The SEC has charged 38 entities for allegedly making material misrepresentations in their Form ADV filings between 2025 and 2026.

Read our latest blog to understand the impact of this massive regulatory sweep on financial advisers. 👉 https://t.co/NJ8E5qibtA

[James Eccleston @ecclestonlaw]

Edelman Financial Engines successfully secured a Temporary Restraining Order (TRO) against a former advisor after his move to RFG Advisory.

Discover the details of this high-stakes transition dispute and the legal implications. 👉 https://t.co/NSujeoIZp2

[James Eccleston @ecclestonlaw]

FINRA suspends a former Northwestern Mutual broker for misusing customer loans. He solicited funds to buy a book of business but spent the money on personal debt instead.

Read the latest regulatory updates from Eccleston Law. 👉 https://t.co/jRxBpkuPWS

[James Eccleston @ecclestonlaw]

NEWS: The SEC is considering a major proposal to expand retail access to private markets. This shift could also allow investment advisers to charge performance fees to a broader group of clients.

Read the full breakdown. 👉 https://t.co/ahfBFm9MIF

[James Eccleston @ecclestonlaw]

Elder financial exploitation has reached crisis levels. Financial advisors warn that proactive, early planning is the absolute best defense to protect vulnerable seniors and their life savings.

Read the latest from Eccleston Law. 👉 https://t.co/IKQ99mfljh

#WealthManagement

[James Eccleston @ecclestonlaw]

NEWS: A FINRA arbitration panel has awarded $509,000 in damages to clients of Strategic Financial Alliance Inc. in a dispute over conservation easement investments.

Learn more about this major ruling from Eccleston Law. 👉 https://t.co/UOeCfBU0uO

[James Eccleston @ecclestonlaw]

Major sentencing: Drive Planning CEO Todd Burkhalter gets 20 years in federal prison for orchestrating a massive $380M Ponzi scheme. The years-long scam defrauded over 2,000 investors.

Read the full breakdown from Eccleston Law. 👉 https://t.co/EmJlMaeHzu

[James Eccleston @ecclestonlaw]

A shocking alleged breach of trust: Merrill Lynch and a former advisor settle a court case for $6M after the advisor allegedly exploited a grieving widow for millions of dollars in gifts.

Get the full story from Eccleston Law. 👉 https://t.co/G1CuLilVq7

[James Eccleston @ecclestonlaw]

Record-breaking sale or strategic exit? Guggenheim CEO Mark Walter just sold his majority stake in the LA Lakers for $12.5 billion amid a federal probe into potential financial improprieties at his insurance and annuities firms.

https://t.co/qAIiZTEydR

[James Eccleston @ecclestonlaw]

FINRA Enforcement: Two former CA brokers suspended and fined over $8M in unapproved private securities transactions. Selling promissory notes without firm approval carries strict penalties.

Read the details of this regulatory action. 👉 https://t.co/oWxJiK8grx

[James Eccleston @ecclestonlaw]

Lawsuit revived: United Capital Financial Advisors is taking Osaic back to court. An amended complaint alleges Osaic misused confidential info obtained during a failed acquisition bid.

Read the latest updates on our blog. 👉 https://t.co/oKB6KJzDfY

[James Eccleston @ecclestonlaw]

The fallout from the GWG Holdings collapse continues. FINRA has ordered broker-dealer WestPark Capital to pay $520,000 over the sale of illiquid L bonds.

Get the full details and legal insights from Eccleston Law. 👉 https://t.co/CKs3WIwj9i