Christopher Black, formerly with LPL Financial, Barred by FINRA
Have you lost money with financial advisor Christopher Black? We are looking into allegations made about Christopher Bryan Black from Statesboro, Georgia. FINRA (the Financial Industry Regulatory Authority) barred Black from the securities industry. FINRA alleged that he failed to respond to its investigation after he was fired by LPL Financial.
Christopher Bryan Black was a financial advisor and registered representative of LPL Financial from October 2017 to April 2020. He worked in a branch office in Statesboro, Georgia. He has been the subject of three customer complaints, including one that alleged misappropriation of funds, and two others that complained of bonds.
Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Georgia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial.