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  1. Oppenheimer Pays $20 Million To Settle 529 Plan Lawsuit Over Oppenheimer Core Bond Fund http://bit.ly/5ilugY 11:31 AM Nov 24th from TypePad
  2. Advisers Urged To Seek Legal Counsel To Negotiate Protections Associated With The Current 330% Trailing 12 Recruitin... http://bit.ly/8PuP0B 1:14 PM Nov 20th from TypePad
  3. SNSFE Investigates John Leonard, High Net Worth Strategies And Workman Securities Corp. http://bit.ly/22m8zr 11:24 AM Nov 18th from TypePad
  4. SEC Chairman's Speech Highlights Key Securities Initiatives And Reforms http://bit.ly/2DCvko 9:51 AM Nov 12th from TypePad
  5. SNSFE Investigates 2010 Glide Path Exchange-Traded Funds (ETFs) As Well As Inverse And Leveraged ETFs For Failure To ... http://bit.ly/boDWT 1:03 PM Nov 9th from TypePad
  6. FINRA Fines Scottrade $600,000 For Inadequate Surveillance System http://bit.ly/3semLP 12:53 PM Nov 6th from TypePad
  7. Stifel Financial Starting RIA Custody Business http://bit.ly/dH3BN 10:49 AM Nov 5th from TypePad
  8. Schwab And Fidelity Cut Prices And Fees For Investment Advisers http://bit.ly/2VcyU5 8:15 AM Oct 30th from TypePad
  9. Non-Traded REITs May Hurt Independent Broker-Dealers That Were The Biggest Sellers To Investors http://bit.ly/1YS0mL 12:49 PM Oct 27th from TypePad
  10. Risks Of Reg D Deals Such As Provident Royalties And Medical Capital Worry Securities Regulators And Others As Deals... http://bit.ly/44WhK2 12:17 PM Oct 23rd from TypePad
  11. Monetary Fine Illustrates Securities Regulator's Concern For Privacy Of Customer Information http://bit.ly/17RCW0 10:10 AM Oct 19th from TypePad
  12. Transition And Succession Planning Frequently Desired But Seldom Implemented According To Recent Survey http://bit.ly/1ieSTe 1:02 PM Oct 15th from TypePad
  13. Morgan Keegan's Abusive Sales Of Auction Rate Securities Prompt SEC Complaint http://bit.ly/49Khr2 9:57 AM Oct 9th from TypePad
  14. SNSFE Investigates Illegality of Promissory Note Acceleration Clauses When Reps Leave Firms http://bit.ly/T3cix 10:02 AM Oct 6th from TypePad
  15. Frank Bluestein And GunnAllen Financial Investigated By SNSFE In the Wake Of SEC Ponzi Scheme Allegations http://bit.ly/19F8NZ 1:38 PM Sep 29th from TypePad
  16. Received responses to Inland American REIT inquiry. We are exploring the level of feature and risk disclosure. 8:22 AM Sep 21st from web
  17. Interested in talking to advisers who have knowledge of Inland American Real Estate Trust (REIT). 9:36 AM Sep 17th from web
  18. Interested in talking to advisers who have knowledge of the DBSI. 9:35 AM Sep 17th from web
  19. SNSFE helps advisers negotiate employment agreements and promissory notes in transitioning to new firms. AIG Advisor Group reps, call us! 7:26 AM Sep 11th from web
  20. Merrill fined $26.5 million for using unregistered salespeople to sell securities in Texas and a few other states. Will other states follow? 7:24 AM Sep 11th from web
  • Name James Eccleston
  • Location Chicagoland
  • Web http://www.financ...
  • Bio securities and financial services employment lawyer by day, baseball and basketball coach and player all other times
12 Following 37 Followers 1 Listed
SIFMA Melissa Bunton Fiduciary360 (fi360) Brandon Hayes Adam Ardenfriend Carol Grimes Cory Papineau, CFP® NAPFA iTrust Financial Paul Reeves Halcyon Analytics ALLYSON HEUMANN