CHRISTOPHER THOMAS FENTON is currently employed as a Broker and/or Investment Adviser at M&T SECURITIES, INC. located at RHINEBECK, 6375 MILL STREET, RHINEBECK, NY, 12572.
CHRISTOPHER THOMAS FENTON has worked at M&T SECURITIES, INC. since November 13, 1997
CHRISTOPHER THOMAS FENTON has 3 Disclosure Event(s).
Date: March 08, 2010 Category: Customer Dispute Allegations: MISREPRESENTATION, RECOMMENDATION OF UNSUITABLE INVESTMENTS AND BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $119,650.00 Damages Granted: $30,573.70 10-00883
Date: February 21, 2003 Category: Customer Dispute Allegations: IN JANUARY 2000, THE CLIENTS PURCHASED $38,000 IN FIVE DIFFERENT AIM MUTUAL FUNDS. IN FEBRUARY 2003, THE CLIENTS COMPLAINED ABOUT THE POOR PERFORMANCE OF THEIR MUTUAL FUNDS AND SOUGHT TO BE REIMBURSED 100% FOR THE MARKET VALUE LOSSES IN THEIR ACCOUNT. THE FIRM INVESTIGATED THE ALLEGATIONS AND FOUND THEM TO BE WITHOUT MERIT AND DENIED THE REQUEST FOR POSSIBLE REIMBURSEMENT. Damage Amount Requested: $20,000.00
Date: February 19, 2003 Category: Customer Dispute Allegations: IN SEPTEMBER 2002, THE CLIENT INVESTED IN A NEW YORK MUNICIPAL BOND MUTUAL FUND. ON BEHALF OF THE CLIENT AN OUTSIDE FINANCIAL ADVISOR WROTE A LETTER TO THE NASD ALLEGING THAT THE TRANSACTION WAS UNSUITABLE. M&T SECURITIES REVIEWED THE ALLEGATIONS AND FOUND THEM TO BE WITHOUT MERIT. THE NASD'S BOSTON DISTRICT OFFICE DECIDED NOT TO PURSUE DISCIPLINARY ACTIONS (EXAMINATION #E11030358). Damage Amount Requested: $5,000.00
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