Christopher Todd Norton (also known as Chris Norton), of Boca Raton, Florida, a stockbroker registered with Aegis Capital Corp, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $45,000.00 in damages based upon allegations that Norton was negligent, breached a contract, made misrepresentations and omissions of material fact, failed to perform due diligence, and made the unsuitable recommendation of alternative investments during the time that Norton was associated with Aegis Capital Corp. FINRA Arbitration No. 21-02883 (August 9, 2022).
This is not the first time that Norton has been referenced in a customer initiated investment related dispute concerning Norton’s conduct in the securities industry. FINRA Public Disclosure shows that Norton is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $57,500.00 in damages based upon allegations that Norton made misleading and false statements and had engaged in unsuitable and excessive trading during the time that Norton was associated with Aegis Capital Corp. FINRA Arbitration No. 19-03414 (April 6, 2021).
Norton was associated with I-Bankers Direct LLC in Boca Raton, Florida from February 15, 2019, to August 28, 2023, and Aegis Capital Corp in Boca Raton, Florida from January 16, 2015, to February 22, 2019.
Norton has been associated with Boustead Securities LLC in Boca Raton, Florida since October 4, 2023, and Sutter Securities Incorporated in Boca Raton, Florida since August 28, 2023.
