Christiana Webb Allegedly Failed to Act in Client’s Best Interest
Christiana Webb (CRD #: 5116707), a broker registered with Morgan Stanley, is the subject of a pending investor dispute, according to her BrokerCheck record, accessed on May 12, 2023. Keep reading if you have questions about her alleged conduct as a broker.
On April 6, 2023, an investor filed a dispute alleging that Christiana Webb failed to manage her accounts in her best interest between 2021 and 2023. This dispute is currently pending.
FINRA Rule 2111 and Regulation Best Interest
FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must consult the investor’s profile, which describes their age, risk tolerance, and other information.
Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.
Christiana Webb has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 31 – Futures Managed Funds Examination
- Series 7 – General Securities Representative Examination
- Series 9 – General Securities Sales Supervisor – Options Module Examination
Christiana Webb is a registered broker in 18 states and the District of Columbia. She is also a registered investment adviser in Georgia and Texas.
She has also worked for Morgan Stanley & Company (CRD#:8209) and Morgan Stanley (CRD#:7556).
Kurta Law Can Help
If you worked with Christiana Webb and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.