CHRISTOPHER MICHAEL WARNER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 500 WINDING BROOK DR, GLASTONBURY, CT, 06033.
CHRISTOPHER MICHAEL WARNER has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
CHRISTOPHER MICHAEL WARNER has 1 Disclosure Event(s).
Date: April 12, 2013 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE RESPONDENT RECOMMENDED UNSUITABLE INVESTMENTS IN A RIVERSOURCE VUL AND KBS REIT IN 2007. CLAIMANTS ALLEGE BREACH OF FIDUCIARY DUTY, FRAUD, CONSTRUCTIVE FRAUD, INTENTIONAL AND NEGLIGENT MISREPRESENTATION, NEGLIGENCE, GROSS NEGLIGENCE, RECKLESS AND/OR WILLFUL MISCONDUCT, BREACH OF CONTRACT, BREACH OF IMPLIED COVENANT OF GOOD FAITH AND FAIR DEALING, FAILURE TO SUPERVISE, BREACH OF SECURITIES LAWS, FINRA RULES OF FAIR PRACTICE, AND CONNECTICUT COMMON LAW AND SEEK DAMAGES IN AN UNSPECIFIED AMOUNT. Settlement Amount: $21,250.00 Broker Comment: ALL PRODUCT RECOMMENDATIONS WERE MADE WITHIN THE CLIENTS' DOCUMENTED SUITABILITY AND THE CLIENTS VOLUNTARILY DISMISSED THIS CLAIM AGAINST ME WITH PREJUDICE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for CHRISTOPHER MICHAEL WARNER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.