News & Updates

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FINRA Arbitration Panel Clears Advisor's Record of Defamatory Allegations

A FINRA arbitration panel has ruled in favor of Mary J. Howard, a former RBC Wealth Management advisor, allowing her to expunge defamatory alleg...

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.

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Wells Fargo Faces $3.37 Million FINRA Award Over Alleged Elder Exploitation

A FINRA arbitration panel has ordered Wells Fargo Clearing Services and its advisor, Stephen L. Smith, to pay approximately $3.37 million in dam...

Bank of America Agrees to Consent Order Over Anti-Money-Laundering Defic...

Bank of America Corp. has entered into a consent order with the Office of the Comptroller of the Currency (OCC) to address deficienci...

UBS Settles FINRA Claims Over Supervision of Short-Term Preferred Stock ...

According to AdvisorHub, UBS Wealth Management USA’s broker-dealer has agreed to pay $3.5 million in sanctions over all...

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