Christopher Matthew Keeler Sr. of Stamford Connecticut a stockbroker formerly employed by Oppenheimer Co. Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $542,000.00 in damages based upon allegations that (1) unauthorized oil and gas, mutual fund and equity trades were effected in the customer’s account (2) trades were not suitable for the customer’s account (3) Oppenheimer failed to supervise transactions in the customer’s account which allowed for the unapproved liquidations to be effected from a customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02061 (July. 2, 2018).
FINRA Public Disclosure confirms that Keeler has been identified in five additional customer initiated investment related disputes containing accusations of Keeler’s misconduct while employed with Alex, Brown & Sons, Inc., Prudential Securities Inc. and Oppenheimer & Co. Inc. On September 11, 1992, a customer initiated investment related complaint regarding Keeler’s activities was settled for $50,193.27 in damages founded on allegations that the customer suffered unwarranted losses on over-the-counter equities trades placed in the customer’s account.
Thereafter, on June 7, 2002, a customer initiated investment related complaint involving Keeler’s conduct was resolved for $33,000.00 in damages supported by accusations that unauthorized over-the-counter equities trades were executed in the customer’s account; reckless activities transpired with regard to the customer’s account; and misrepresentations had been made to the customer concerning the equities trades executed in the customer’s account.
Further, a customer initiated investment related arbitration claim concerning Keeler’s activities was settled for $90,000.00 in damages based upon allegations that Keeler gave the customer bad investment recommendations concerning mutual fund and equities held in the customer’s account; and Keeler made omissions and misrepresentations to the customer concerning stock transactions. FINRA Arbitration No. 09-05135 (Sept. 8, 2009). Then, a customer initiated investment related complaint concerning Keeler’s conduct was resolved for $65,000.00 in damages founded on accusations that investment recommendations made to the customer were not suitable, and excessive commissions had been charged in the customer’s account on over-the-counter equities transactions.
Moreover, on August 10, 2016, a customer filed an investment related complaint regarding Keeler’s activities where the customer sought damages estimated to exceed $5,000.00 supported by allegations of unauthorized and unsuitable stock and over-the-counter equities trades having been placed in the customer’s account from May of 2009 to May of 2015.
Keeler’s registration with Laidlaw & Company (UK) Ltd. has been terminated as of December 22, 2017.
