Christopher Conroy, Financial Advisor Christopher Conroy Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Christopher Conroy CRD #1481945
Christopher Conroy is a licensed financial advisor with UBS Financial Services, Inc. According to Christopher Conroy’s CRD, Christopher Conroy was suspended from the securities industry and fined $5,000 in December 2016.
FINRA Alleges That:
Christopher Conroy consented to the sanctions and to the entry of findings that Christopher Conroy exercised discretion in a customer’s accounts without obtaining prior written authorization from the customer or written approval of the accounts as discretionary from his member firm. The findings stated that Christopher Conroy regularly discussed investment strategies with the customer, and while the customer authorized the initial purchase of the securities, Christopher Conroy exercised his discretion in executing subsequent purchases in those same securities on dates when he had not spoken with the customer.
According to Christopher Conroy’s CRD, a customer dispute was filed alleging sales practice violations against Christopher Conroy. According to Christopher Conroy’s CRD, these allegations include unauthorized trading in the accounts.
If you lost money on investments with Christopher Conroy 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 Christopher Conroy’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.
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 Christopher Conroy 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