Matthew Evan Eckstein
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MATTHEW EVAN ECKSTEIN (CRD No. 2997245), Respondent. Disciplinary Proceeding No. 2017054146302 Hearing Officer-LOM DEFAULT DECISION August 28, 2018 Respondent made false and misleading statements in connection with purchases and sales of securities in willful violation of Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5, as well as FINRA Rules 2020
04/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Matthew Evan Eckstein (CRD No. 2887245), Respondent. DISCIPLINARY PROCEEDING No. 2017054146302 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2014 and December 2015 (the "Relevant Period"), while associated with FINRA-member firms, Respondent Matthew Evan Eckstein
Reference 2017054146302data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2997245 |
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