PHIL ECKSTEIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Philip Eckstein (CRD No. 3080212), Respondent. Disciplinary Proceeding No. 2009019288301 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 8, 2012 INTRODUCTION Disciplinary Proceeding No. 2009019288301 was filed on October 19, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Philip Eckstein submitted an
10/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Philip Eckstein (CRD No. 3080212), Respondent. DISCIPLINARY PROCEEDING NO. 20090192883 Respondent COMPLAINT The Department of Enforcement alleges: SUMMARY 1. After believing for years that Eckstein had purchased an annuity for her with $10,000 she had provided him in 2004, RR learned in August 2009 that Eckstein had not purchased the annuity. Instead, he had misappropriated the funds. Between 2004
Reference 2009019288301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3080212 |
Other names1
Also known as1
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