Fort-Lauderdale-based Soreide Law Group obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2014.”
James Clifford Eastman (CRD #1385303, Naples, Florida)
was given a deferred fine of $20,000 and suspended by FINRA for nine months for allegedly participating in the sales of private securities without prior written notice to his firm or obtaining his firm's approval of his participation in these transactions.
FINRA's findings stated that Eastman allegedly referred his clients to invest in an offering, he then assisted the clients with obtaining the necessary funds from their brokerage accounts, and then assisted the clients with the paperwork. Eastman received approximately $65,000 in fees, but was instructed by his firm to return the funds.
This suspension is in effect from October 6, 2014, through July 5, 2015. (FINRA Case #2012034304001)
James Clifford Eastman was previously registered with the following securities firm(s):
01/2010 - 10/2012 WESTPORT RESOURCES INVESTMENT SERVICES, INC. (CRD# 24535) - NAPLES, FL
06/2009 - 01/2010 MORGAN STANLEY SMITH BARNEY (CRD# 149777) - NAPLES, FL
05/2001 - 06/2009 CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - NAPLES, FL
12/1991 - 06/2001 ROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158) - MILWAUKEE, WI
07/1985 - 06/1988 FIRST AMERICAN NATIONAL SECURITIES, INC. (CRD# 10111)
This summation of information from FINRA’s website ends here.
Florida-based Soreide Law Group represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses call: 888-760-6552.
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