JAMES ECKES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. JAMES ECKES (CRD NO. 4158141) RESPONDENT. DISCIPLINARY PROCEEDING No. 2007008401901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Eckes committed three separate violations of NASD rules. First, he violated NASD Rule 2110 by effecting an unauthorized sale and purchase of securities in the account of J.P.
05/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES ECKES (CRD No. 4158141), Respondent. Disciplinary Proceeding No. 20070084019-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 5, 2009 The Respondent is barred from associating with any member firm in any capacity for failing to respond to requests for information, in violation of Conduct Rule 2110 and Procedure
Reference 2007008401901data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4158141

Other names1

Also known as1

JAMES STEPHEN ECKES

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