Tag Archives: Christ Elias Baltas

Christ Barred By Regulators In Boilerroom Failure To Supervise Investigation

October 08, 2020  |   Posted by :   |   Boilerroom Sales, Failure To Supervise, Securities Arbitration Claims   |   Comments Off on Christ Barred By Regulators In Boilerroom Failure To Supervise Investigation

Christ Elias Baltas a stockbroker formerly registered with Worden Capital Management LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Baltas failed to comply with FINRA during its investigation into accusations of his failed supervision of a stockbroker who engaged in unsuitable trading […]

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