Chris Russell – Christopher Hanley Russell, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A. May Recover Losses
CRD#: 5012084
Chris Russell was previously registered with LPL Financial LLC and Wells Fargo Advisors in Huntsville, Alabama. According to Chris Russell’s CRD, Chris Russell was discharged from LPL Financial LLC. According to Chris Russell’s CRD, Chris Russell allegedly violated firm policy regarding private securities transactions.
According to Chris Russell’s CRD, Chris Russell was suspended for three months and fined $5,000 in August 2017. According to FINRA, Chris Russell consented to the sanctions and to the entry of findings that he participated in private securities transactions without providing prior written notice to or receiving prior written approval from his member firm. The findings stated that specifically, Chris Russell invested approximately $50,000 in a private company that produced craft beers. In addition, after solicitation from Chris Russell, two investors who were not his firm’s clients invested in the company. Chris Russell facilitated their investments by furnishing these investors with relevant paperwork and instructions. Each of the investors invested $50,000. Chris Russell did not receive selling compensation. On an annual compliance questionnaire that Russell submitted to his firm, Chris Russell inaccurately indicated that he had not participated in any private securities transactions.
If you lost any money on investments with Chris Russell, you may be able to recover your losses from LPL Financial, LLC. If you lost money on investments with Chris Russell 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 against LPL Financial, LLC concerning Chris Russell’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Chris Russell 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.
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