Kenneth J. Christman, Jr., of Poughkeepsie, New York, a stockbroker currently associated with Stifel, Nicolaus & Company, Incorporated, is the subject of a customer initiated investment related arbitration claim, in which the customer requested $28,553.41 in damages founded on allegations that Christman failed to supervise a stockbroker’s corporate debt investments executed in the customer’s investment account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01523 (June 15, 2017).
FINRA Public Disclosure additionally confirms that on August 30, 2016, another customer filed an investment related written complaint regarding Christman’s activities, seeking $122,398.00 in damages based upon allegations that between December 24, 2013 and September 1, 2016, purchases and sales of junk bonds were effected without the customer having been consulted beforehand. Subsequently, a customer initiated investment related arbitration claim regarding Christman’s activities was resolved for $12,500.00 in damages based upon allegations that Christman made faulty junk bond and energy stock recommendations to the customer. FINRA Arbitration No. 16-02414 (Aug. 31, 3017).
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. We accept representation 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 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
