Chris Hawn – Christopher Hawn, Financial Advisor Suspended from Securities Industry

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

Chris Hawn CRD #4776341

Chris Hawn was previously licensed with ALPS Distributors, Inc. in Denver, Colorado.

According to FINRA: Chris Hawn was suspended for six months in June 2017.  FINRA reports that Chris Hawn consented to the sanctions and to the entry of findings that he participated in two private securities transactions totaling $98,980 without providing prior written notice to his member firm. The findings stated that Chris Hawn participated in the unapproved private securities transactions by, among other things, introducing his friend and an uncle to an investment opportunity in a private placement offering of a security. Both investors each separately purchased membership interests in the private placement offering and invested a total of $98,980. The findings also stated that Chris Hawn distributed to potential investors sales materials, (marketing materials and an information memorandum), prepared by the issuer of the securities that failed to comply with FINRA’s content standards for communications with the public. The materials did not include the risks of investing in the private placement offering or provide a sound basis for evaluating the financial information contained in the private placement offering. Furthermore, the information memorandum failed to comply with the applicable FINRA rule in that it contained forecasts of financial information but failed to include clear language that described the assumptions used for the financial information, or factors that might inhibit achievement of the issuer’s projected financial results.

According to FINRA: The findings also included that Chris Hawn engaged in an outside business activity without providing prior written notice to his firm. Chris Hawn signed a consulting agreement with the outside business as a consultant for the business, a privately-owned registered investment advisor, that provided that he will be paid a fee of $100 per hour for his consulting activities, though he was never compensated by the business. FINRA found that Hawn falsely stated on his firm’s annual compliance questionnaire that all of his securities related business was done through the firm, which was false because, at the time he completed the questionnaire, Chris Hawn had participated in private securities transactions by introducing, soliciting and referring investors to the offering. Hawn also submitted monthly and annual certifications to another associated firm and falsely certified to that he had disclosed all current outside business activities. The certifications were false because at the time Hawn completed each of these questionnaires, he was engaged in unapproved outside business activities with the outside business.

If you lost any money on investments with Chris Hawn, you may be able to recover your losses. If you lost money on investments with Chris Hawn and believe that 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 Hawn’s 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.

Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Chris Hawn 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.  

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

Contact Us Today!

1 Step 1
FormCraft - WordPress form builder