According to a recent FINRA announcement, James Stephen Eckes, of Parrish, Florida, barred from FINRA and ordered to pay $1,611 in restitution to a customer. The sanctions were based on findings that Eckes effected unauthorized transactions in a customer’s account, and communicated with a customer using a personal email account without obtaining permission from his member firm to use the outside account.
If you have questions about investments you made with James Stephen Eckes, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit https://whitesecuritieslaw.com.
Tags: broker fraud, Clearwater, FINRA, Florida, investment losses, investor protection, James Stephen Eckes, Miami, NASD, Orlando, SEC, securities arbitration, Securities Attorney, Securities Lawyer, St. Petersburg, Tampa, unauthorized trading, West Palm Beach Last modified: December 5, 2022
