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Christopher Dunlevy Embroiled in Civil Suit

Apr 14, 2022 Unsuitable Investments

Christopher Dunlevy (CRD #: 4909656), a former broker, is involved in a civil suit, according to his BrokerCheck record, accessed on April 8, 2022. Read on if you have questions about Christopher Dunlevy’s conduct as a broker.

Misrepresentation Allegations

In a dispute also filed as a civil suit, investors claim that Christopher Dunlevy recommended an unsuitable investment held in a discretionary account and advised them not to file a form 5500 for their 401(k) plan. They seek $180,000 in damages in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their recommendations to their clients’ profiles. Investors’ profiles contain information such as their tax status, risk tolerance, and other investments. Investors may be able to recover money lost through unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information

Christopher Dunlevy has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination
  • Series 53 - Municipal Securities Principal Examination
  • Series 24 - General Securities Principal Examination

In the past, he worked for the following firms:

  • Lincoln Financial Advisors (CRD#:3978)
  • CUSO Financial Services (CRD#:42132)
  • NYLIFE Securities (CRD#:5167)

Kurta Law Can Help

If you worked with Christopher Dunlevy 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.