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Christian De Berardinis Allegedly Solicited Client for Outside Investments

Christian De Berardinis (CRD #: 4312327), a broker registered with Morgan Stanley, is the subject of a pending investor dispute, according to his BrokerCheck record, accessed on April 28, 2023. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On March 1, 2023, an investor alleged that, among other things, Christian De Berardinis solicited them for outside investment opportunities not offered by Morgan Stanley from 2021-2023. This dispute is currently pending.

FINRA Rule 3280

FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Christian De Berardinis has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Christian De Berardinis is a registered broker in 14 states and a registered investment adviser in New York and Texas.

He has also worked for the following firms:

  • J.P. Morgan Securities (CRD#:79)     
  • Phoenix Derivatives Group (CRD#:25802)
  • Oppenheimer & Company (CRD#:249)
  • J.P. Morgan Securities (CRD#:18718)
  • Citigroup Global Markets (CRD#:7059)
  • Banc of America Securities (CRD#:26091)

Kurta Law Can Help

If you worked with Christian De Berardinis 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 and 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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