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Christina Henderson Allegedly Executed Unauthorized Trades

Mar 15, 2022 Unauthorized Trading

Christina Henderson (CRD #: 5357805), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, has an investor dispute on her BrokerCheck record. Keep reading for more details.

On November 15, 2021, an investor alleged that Christina Henderson executed unauthorized trades. The firm denied the dispute, but investors should know that firms can deny disputes without any external review. Investors can still recover their losses following a denial.

Unauthorized Trading

FINRA Rule 3260 requires that brokers only execute unauthorized trades in discretionary accounts. For non-discretionary accounts, investors must always seek their customer's authorization. 

Making unauthorized trades in or facilitating unauthorized withdrawals from a customer's account is a breach of the duty to observe high standards of commercial honor and just and equitable principles, in violation of FINRA Rule 2010.

Background Information

Christina Henderson 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

She is a registered broker in 15 states and is a registered investment adviser in California and Texas.

Christina Henderson has worked with the following firms:

  • Morgan Stanley Smith Barney (CRD #: 149777)
  • CitiGroup Global Markets (CRD #: 7059)

Kurta Law Can Help

If you have worked with Christina Henderson and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.