Christopher Kazan, of South Norwalk, Connecticut, a former stockbroker with Maxim Group LLC, was subject to a customer initiated investment related arbitration claim on August 24, 2015, which was settled for $85,000.00 in damages based upon allegations that Kazan effected unsuitable investment transactions in the customer’s investment account between October of 2012 through August of 2015.
FINRA Public Disclosure reveals that Kazan has been subject to three additional customer arbitrations. Particularly, on April 21, 2004, a customer initiated investment related arbitration claim involving Kazan’s conduct was settled for $9,000.00 in damages based upon allegations that Kazan did not execute a stock purchase order from the customer as instructed.
Additionally, On November 17, 2004, another customer filed an investment related arbitration claim involving Kazan’s conduct, in which the customer requested $6,447.85 in damages based upon allegations that Kazan effected transactions in the customer’s account without authorization. Further, on January 24, 2008, a customer filed an investment related arbitration claim involving Kazan’s actions, in which the customer requested $197,430.70 in damages based upon allegations that Kazan made misrepresentations to the customer concerning collateralized debt obligations.
Kazan’s registration was terminated with Maxim Group LLC in October of 2015. Since then, he has been registered with National Securities Corporation.
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