Christopher Todd Gross of San Diego California a stockbroker formerly registered with Raymond James Associates Inc. has been discharged by the firm on December 14, 2015 founded on accusations that Gross (1) engaged in an outside business activity that was not properly disclosed to the firm and (2) engaged in unauthorized correspondence concerning his outside business activities.
FINRA Public Disclosure additionally reveals that on April 27, 2001, a customer filed an investment related complaint regarding Gross’ activities where the customer alleged that while Gross was associated with Merrill Lynch, Pierce Fenner & Smith Inc., Gross failed to abide by the customer’s instructions relating to the customer’s over-the-counter equities holdings.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
