David Paul Eck of Moses Lake Washington is a stockbroker formerly registered with CCF Investments Inc. who has been fired on March 14, 2017 based upon allegations that he violated the policies and procedures of the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Eck has been identified in two customer initiated investment related disputes concerning accusations of his misconduct while employed with CCF Investments, Inc. and PFS Investments Inc. Specifically, a customer initiated investment related written complaint regarding Eck’s activities was resolved for $14,725.00 in damages supported by allegations that Eck provided customers with faulty recommendations concerning the rollover of a tax-qualified annuity, causing the customers to suffer undue tax liabilities.
Thereafter, on February 23, 2017, a customer initiated investment related written complaint involving Eck’s conduct was settled for $47,589.00 in damages based upon accusations that the customer was not apprised about the expenses and fees pertaining to mutual funds and variable annuity products, and that the investments have not performed as the customer expected.
Eck’s registration with CCF Investments, Inc. was terminated on March 14, 2017.
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