FINRA recently announced that Rodney Jack Bradley, a former financial advisor with Merrill Lynch in Clearwater, Florida, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bradley consented to the described sanction and to the entry of findings that he borrowed approximately $480,000 from customers generally [...]
Filed under: Securities Fraud | Comment (0)
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 [...]
Filed under: Securities Fraud | Comment (0)