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 Law Offices of David A. Carter, P.A. may be able to help. The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton. David Carter is a securities attorney that reviews securities fraud cases throughout the country and Florida, including reviewing securities fraud cases in Tampa, St. Petersburg, Clearwater, Orlando, Miami, West Palm Beach, Delray Beach, Fort Lauderdale and Vero Beach. To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A., you can also visit our website at www.carterpa.com.