Chris Carpenter Is Barred from Selling Securities | Goodman & Nekvasil P.A. May Recover Investor Losses
Chris Carpenter a/k/a Christopher John Carpenter (CRD#: 6601132) Is Barred From Selling Securities.
Chris Carpenter consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Carpenter’s member firm stating that the firm was reviewing his alleged participation in unapproved real estate investments with customers.
Chris Carpenter (Selling Away) Investigation
Brokers, like Chris Carpenter, who allegedly have bought, sold, or solicited securities without the formal approval of their brokerage firms have engaged in “selling away” from the firm. Such securities are generally not recorded on the firms’ books and are not monitored and supervised by the firms. Selling away violates FINRA rules and other securities laws and poses significant risks to investors.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost any money on investments with Chris Carpenter, you may be able to recover your losses. If you lost money on investments and believe that the investments may have been unsuitable, unapproved or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action. There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis.
Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained on 5/25/23 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.