Chris Childers – Financial Advisor/Broker Chris Childers Suspended from Securities Industry

Chris Childers – Financial Advisor/Broker Chris Childers Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Chris Childers CRD #2175772

Chris Childers is a formerly licensed financial advisor with Cambridge Investment Research, Inc.

According to FINRA, Chris Childers was suspended from the securities industry for four months and fined $5,000 in September 2019.

According to FINRA Allegations:

In connection with a customer’s purchase of a variable annuity (“VA”), Chris Childers failed to timely execute the customer’s transaction, which resulted in an almost four-month delay in the customer’s investment, in violation of FINRA Rule 2010. In order to belatedly execute this transaction, Chris Childers re-dated the customer’s VA application, thus falsifying the document, also in violation of FINRA Rule 2010. Childers caused his Firm to maintain inaccurate books and records, in violation of Section 17 of the Securities Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rule 17a-3. Through this conduct, Chris Childers violated FINRA Rules 4511 and 2010. Finally, to create the false impression that he had already submitted the VA transaction for approval, Chris Childers provided the customer with a falsified VA account statement. By creating a false account statement, Chris Childers violated FINRA Rule 2010.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Chris Childers 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 concerning Chris Childers’ 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 Chris Childers 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. 

Chris Childers, 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, Chris Childers

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