Fiduciary Duty

A fiduciary is a legal or ethical relationship of trust between two or more parties. Typically, a fiduciary prudently takes care of money for another person. One party, for example a corporate trust company or the trust department of a bank, acts in a fiduciary capacity to the other one, who for example has entrusted funds to the fiduciary for safekeeping or investment. Likewise, asset managers—including managers of pension plans, endowments and other tax-exempt assets—are considered fiduciaries under applicable statutes and laws.
Posts about Fiduciary Duty
  • The Duties of a Successor Trustee

    … document should give instructions for distribution of the trust assets and property. In some cases, this can be relatively straightforward. In others, there may be specific conditions attached to distributions that must be followed, and distributions can continue over an extended period of time. Fiduciary Duty Perhaps most importantly, a successor…

    www.kcarplaw.com- 13 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force (6th Article)

    … at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. …

    Eccleston Law Offices- 15 readers -
  • Significant Hedge Fund Failures

    … LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw…

    Eccleston Law Offices- 11 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    … and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality…

    Eccleston Law Offices- 10 readers -
  • RIA Found Guilty of Misappropriating Funds from Mike Tyson

    … of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one…

    Eccleston Law Offices- 9 readers -
  • Morgan Stanley to Pay an $8 Million Penalty

    … and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality…

    Eccleston Law Offices- 14 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    … and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. …

    Eccleston Law Offices- 11 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    … and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today. …

    Eccleston Law Offices- 11 readers -
  • FINRA Expels Red River Securities

    … FINRA Expels Red River Securities Posted on Thursday, February 16, 2017 at 9:21 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Red River Securities, a Plano, Texas-based broker-dealer, has been expelled from FINRA for fraudulent sales in five oil and gas joint ventures. In addition, the firm was ordered to pay $24.6 million…

    Eccleston Law Offices- 12 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    … and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality…

    Eccleston Law Offices- 14 readers -
  • Net 204 Brokers Left Wells Fargo in the Fourth Quarter

    …’ success at cross-marketing bank loans and deposit accounts to their clients. At Eccleston Law, our experienced securities lawyers provide financial legal advice and guidance for many large and small financial advisors and independent broker-dealers. Services include the negotiation of terms of the employment transition and forgivable loan…

    Eccleston Law Offices- 12 readers -
  • SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

    … SEC Bars Connecticut Investment Adviser For Concealing Referral Fee Posted on Friday, February 10, 2017 at 12:21 PM From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee. Mr. Rafal, the former president and chief executive of Essex…

    Eccleston Law Offices- 12 readers -
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