Christian Evans of Morgan Stanley Suspended By FINRA
Christian Evans (CRD #: 6325180), a former broker with Morgan Stanley, is the subject of a FINRA suspension, according to his BrokerCheck record, accessed on September 20, 2021. This suspension stems from allegations related to an outside business.
According to an Acceptance, Waiver, and Consent agreement dated July 19, 2021, Christian Evans consented to the findings that he formed an LLC with two partners for the purpose of raising capital for a small business. He allegedly did not disclose this business to his firms, which brokers are required to do by FINRA Rule 3270. Christian Evans has two outside businesses listed on his detailed BrokerCheck report:
- Rental real estate
- Fresh Dentistry
Christian Evans allegedly led the marketing efforts and contacted potential clients without informing his firm. As part of the terms of the AWC, Christian Evans consented to a three-month suspension and a $5,000 fine. You can read a copy of the AWC here.
This is not Christian Evans’ first regulatory action. On January 27, 2020, FINRA alleged that Christian Evans failed to respond to a FINRA request for information. As a result, FINRA barred Christian Evans from April 30, 2020, until January 5, 2021.
On August 30, 2019, Morgan Stanley Wealth Management fired Christian Evans following allegations that Christian Evans had engaged in an outside business.
Christian Evans Background Information
Christian Evans has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Christian Evans has worked with the following firms:
- Morgan Stanley (CRD #: 149777)
- Highland Capital Funds Distributor (CRD #: 165013)
Kurta Law Can Help
If you worked with Christian Evans and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.