Eric Anthony Dupre of San Antonio Texas is a stockbroker currently registered with Raymond James and Associates Inc. who is the subject of a customer initiated investment related arbitration claim which settled for $90,000.00 in damages supported by allegations of (1) breach of fiduciary duty (2) negligence and (3) suitability pertaining to over-the-counter equities transactions effected in the customer’s account between June of 2000 and December 2015. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-02489 (July 14, 2017).
FINRA Public Disclosure confirms that Dupre has been identified in two additional customer initiated investment related disputes pertaining to accusations of his improper conduct during the time that he was employed with PaineWebber Inc. and Raymond James & Associates, Inc. Particularly, a customer initiated investment related arbitration claim involving Dupre’s conduct was settled for $16,500.00 in damages founded on allegations that Dupre made unsuitable investment recommendations to the customer concerning stock and over-the-counter equities positions. National Association of Securities Dealers (NASD) Arbitration No. 01-00024 (Dec. 27, 2001).
On August 22, 2011, another customer initiated investment related written complaint involving Dupre’s conduct was settled for $75,000.00 in damages based upon accusations that misrepresentations had been made to the customer concerning auction rate securities funds.
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