CHRISTOPHER GEORGE KALAFATIS is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 1301 SECOND AVENUE, 24TH FLOOR, SEATTLE, WA, 98101.
CHRISTOPHER GEORGE KALAFATIS has worked at J.P. MORGAN SECURITIES LLC since October 03, 2012
Disclosure History
CHRISTOPHER GEORGE KALAFATIS has 2 Disclosure Event(s).
Date: February 24, 2014 Category: Customer Dispute Allegations: CLIENTS ALLEGE FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO TRANSACTIONS DURING 2013 WHICH RESULTED IN CAPITAL GAINS THAT COULD NOT BE OFFSET BY CAPITAL LOSSES. Damage Amount Requested: $170,000.00 Broker Comment: THE CLAIM WAS DENIED WITHOUT MERIT BY THE FIRM BASED ON THE FACT THE CLIENTS CONSENTED AND AUTHORIZED THE LIQUIDATIONS AND HAD FULL KNOWLEDGE THAT THE LIQUIDATIONS WOULD HAVE TAX IMPLICATION. I HAD NO TRADING AUTHORITY ON THIS ACCOUNT AND THE INTRODUCTION OF THIS ENTRY TO MY U-4 WAS DUE TO THE FACT THAT I AM A REGISTERED REPRESENTATIVE WITH FINRA INCLUDED IN THE ORIGINAL COMMUNICATION FROM THE CLIENT.
Date: November 30, 2010 Category: Financial Type: Compromise Disposition: Direct Payment Procedure Broker Comment: UPON OUR JOINT EXIT AS ACTIVE DUTY MARINE CORPS OFFICERS, MY WIFE AND I MOVED OUR FAMILY TO SEATTLE WASHINGTON IN A INCREDIBLY POOR JOB MARKET FOR EMPLOYMENT. AFTER ATTEMPTING IN GOOD FAITH AND WITH MUCH EFFORT TO SECURE A SHORT SALE OF THE HOME IN FALLBROOK CA, WE WERE UNABLE ABLE TO PRIOR TO FORECLOSURE. A SETTLEMENT WAS SOON REACHED WITH CREDITORS FOR THE DIFFERENCE OF THE BALANCE OWED, WHICH WAS PAID FOR IN FULL.
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