Christopher Hellman, formerly with FMSbonds and Merrill Lynch, Barred from Securities Industry
Have you lost money with financial advisor Christopher Hellman of Boca Raton, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher Charles Hellman. FINRA barred Chris Hellman from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Christopher Hellman after he was alleged to have engaged in outside business activities without fully disclosing such to his former brokerage firm, Merrill Lynch.
Christopher Hellman or Chris Hellman was a financial advisor and registered representative of FMSbonds from January 2016 to August 2016. He also was affiliated with Merrill Lynch from September 2016 to October 2018. He worked at branch offices in Boca Raton, Florida. Hellman is also the subject of a customer complaint, alleging that he misappropriated $600,000 from a customer.
Brokerage firms like FMSbonds and Merrill Lynch 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 Denver, Colorado; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Merrill Lynch.
Click to view: Hellman, Christopher FINRA AWC
Click to view: Hellman, Christopher BrokerCheck 12.14.18
If you lost money with Christopher Hellman, Merrill Lynch, or FMSbonds, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.