CHRISTOPHER CHARLES ROLLINS is currently employed as a Broker and/or Investment Adviser at BTIG, LLC located at 825 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY, 10022.
CHRISTOPHER CHARLES ROLLINS has worked at BTIG, LLC since September 11, 2017
Disclosure History
CHRISTOPHER CHARLES ROLLINS has 1 Disclosure Event(s).
Date: February 05, 2017 Category: Employment Separation After Allegations Firm Name: Goldman Sachs International Termination Type: Discharged Allegations: Allegations against the representative by a foreign affiliate of GS&Co that after the foreign affiliate restricted a counterparty by not permitting it to open an execution account due to compliance concerns, which were expressed to the representative, the representative allowed that same party to introduce and arrange trades a short time later in August 2016, without the approval of or guidance from Compliance or senior management knowledgeable about the relevant concerns. Broker Comment: In March, Goldman Sach & Co filed disclosures information on my U-5 which I believe is inaccurate and plan to contest.
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