Christopher S. Laws, of Roswell, Georgia, a stockbroker formerly registered with LPL Financial LLC, was named in a Securities and Exchange Commission (SEC) investigation on January 15, 2016, in which the SEC is examining allegations that Laws, inter alia, failed to disclose that the brokerage firm he worked for was not government affiliated when dealing with customers about their investments.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Laws was terminated by LPL Financial on December 1, 2014, based upon allegations that he engaged in improper communications and business practices regarding customers of the firm. Moreover, Laws was named in a customer initiated investment related written complaint on December 29, 2016, based upon allegations that he failed to apprise the customer of the guaranteed income rider and account values associated with the customer’s variable annuity investment.
Following Laws’ termination from LPL Financial LLC, he was associated with BCG Securities, Inc. from December 9, 2014, to April 3, 2017.
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