James Eichner – Financial Advisor James Eichner Suspended from Securities Industry

James Eichner -  Financial Advisor James Eichner Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

James Eichner CRD #3221851

James Eichner was a formerly licensed financial advisor with Allied Millennial Partners, LLC and National Securities Corporation in New York. FINRA reports that James Eichner was suspended from the securities industry for 45 days on April 5, 2019. FINRA reports that between James Eichner consented to the sanction and to the entry of findings that James Eichner exercised discretion without written authorization in at least ten customer accounts during the period of May 2015 through April 2016 and by accepting instructions from an unauthorized third party to place a trade in a deceased customer's account in March 2016. 

Allied Millennial Partners reported to FINRA that James Eichner was permitted to resign on January 14, 2019. Allied Millennial Partners reports that James Eichner’s registration was terminated for failure to adhere to requirements of heightened supervision plan regarding proper memorialization of utilizing time and price discretion for customer orders.

National Securities Corporation reported to FINRA that James Eichner was discharged on January 11, 2018.

FINRA reports that a complaint was filed involving James Eichner’s conduct with National Securities Corp. this complaint alleges unauthorized trading.

FINRA also reports that 5 complaints involving James Eichner’s conduct have been settled. FINRA reports that one of these complaints settled for $125,000.

If you lost money on investments with James Eichner and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against concerning James Eichner’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with James Eichner and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.  

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

Back to Blogs

Contact Us For a Free Consultation

 
CAPTCHA
This question is for testing whether or not you are a human visitor and to prevent automated spam submissions.
2 + 3 =
Solve this simple math problem and enter the result. E.g. for 1+3, enter 4.