By Robert H. Rex, Esq.
In February 2014, FINRA announced that Russell Marcus Eaton of Frisco, Texas, had been barred from association with any FINRA member in any capacity. FINRA found that Eaton failed to respond timely to FINRA requests for information that he had recommended certain Exchange Traded Funds (ETFs) and failed to appear for testimony, thereby impeding FINRA’s investigation.
According to FINRA records, Eaton, who is currently unregistered, worked for LPL Financial from 2/2006-3/2012. Prior to that he was registered with UBS Financial.
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