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Investor Seeks $1.6 Million in Dispute with Chris Polimeni Alleging Conversion

Chris Polimeni (CRD #: 1643121), a broker registered with LPL Financial, is the subject of an investor dispute, according to his BrokerCheck record, accessed on July 27, 2025. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On April 16, 2025, an investor alleged that Chris Polimeni converted their assets by transferring them to a foundation. The client seeks $1.6 million in this pending dispute.

FINRA Rule 2150

FINRA Rule 2150 prohibits the improper use of investors’ funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Chris Polimeni has passed the following exams:

  • Municipal Securities Principal Examination – Series 53
  • General Securities Principal Examination – Series 24
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66
  • Uniform Securities Agent State Law Examination – Series 63

Chris Polimeni is a registered broker in 20 states and a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • Western International Securities (CRD#:39262)
  • Financial West Group (CRD#:16668)
  • First Allied Securities (CRD#:32444)
  • Interfirst Capital Corporation (CRD#:7659)
  • Financial Consultant Group (CRD#:25644)
  • Paulson Investment Company (CRD#:5670)
  • Blinder, Robinson & Company (CRD#:5096) 

Kurta Law Can Help

If you worked with Chris Polimeni and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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