10.0David P Neuman
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INVESTOR WARNING! Advisor Matthew Eckstein of New York

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30
Apr

INVESTOR WARNING! Advisor Matthew Eckstein of New York

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INVESTOR WARNING!  Advisor Matthew Eckstein of New York

Matthew Eckstein, formerly with Gould, Ambroson & Associates, Subject of FINRA Complaint

 

Have you lost money with financial advisor Matthew Eckstein of Garden City and Syosset, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew Evan Eckstein. FINRA recently filed a complaint against Eckstein.  FINRA was investigating Eckstein regarding allegations that he engaged in an undisclosed outside business activity in Conmac Funding Corp.

 

In particular, FINRA alleged that Eckstein raised $1.3 million for an “investment”  in Conmac Funding Corp., run by his friend, identified as “KB”.  FINRA alleged that the purported investments in Conmac Funding Corp. appear to be part of an investment scheme run by KB.  FINRA further alleged that Eckstein did no due diligence on the investment, and that he made material misrepresentations in connection with selling KB’s investments.

 

Matthew Eckstein was a financial advisor and registered representative of Gould, Ambroson & Associates from 1998 to September 2015.  He also was affiliated with Sisk Investment Services from September 2015 to the present.  He worked at branch offices in Garden City and Syosset, New York.  Eckstein was the former Chief Compliance Officer of Gould, Ambroson & Associates, and he founded Sisk Investment Services.

 

Brokerage firms like Gould, Ambroson & Associates have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Eckstein, Matthew FINRA Complaint

Click to view:  Eckstein, Matthew BrokerCheck 4.30.18

 

If you lost money with Matthew Eckstein or Gould, Ambroson & Associates, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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