Broker Investigation – Christopher C. Hellman – Merrill Lynch – Boca Raton, FL
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former advisor Christopher C. Hellman from the securities industry for failure to provide information in an investigation.
According to his FINRA BrokerCheck report, Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith in Boca Raton, FL from September 2016 until he was discharged in September 2018 for reportedly “Conduct including failure to adhere to Firm standards regarding selling away and failure to fully disclose participation in outside business activities.”
Hellman also has 6 disclosure events listed on his broker profile.
For FINRA’s full findings see FINRA case #2018060168801.
Failure to Supervise
The White Law Group is investigating potential claims involving Christopher C. Hellman and the liability his employers may have for failure to properly supervise him.
Brokerage firms are required to adequately supervise their advisors. They must ensure they are complying with FINRA rules.
Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent.
If you are concerned about investments with Christopher C. Hellman, the securities attorneys at The White Law Group may be able to help you. For a free consultation with an attorney specializing in investment fraud, please call (888) 637-5510.
The foregoing information, which is all publicly available, is being provided by The White Law Group.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information, please visit our website, www.whitesecuritieslaw.com.
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