James Bryant Eichner Junior, of New York, New York, a stockbroker currently registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim on June 30, 2015, in which the customer requested $500,000.00 in damages based upon allegations that Eichner negligently handled the customer’s investment account and breached his fiduciary duties to the customer in connection with exchange traded fund transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Eichner has been named in two additional customer initiated investment related disputes containing allegations of his misconduct while employed with National Securities Corporation. Specifically, on December 18, 2008, a customer initiated investment related written complaint involving Eichner’s conduct was settled for $35,000.00 in damages based upon allegations that Eichner failed to execute the customer’s instructions pertaining to over-the-counter equities.
Subsequently, on September 3, 2010, a customer initiated investment related written complaint regarding Eichner’s activities was resolved for $90,000.00 in damages based upon allegations that Eichner effected over-the-counter equity trades in the customer’s account on an excessive basis.
Since May 18, 2000, Eichner has been associated with five different broker dealers, four of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct. #cockroach
Guiliano Law Group
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