Christopher Evanson Allegedly Made Unsuitable Investment Recommendations
Christopher Evanson (CRD #: 5710652), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly gave unsuitable investment recommendations, according to his BrokerCheck record, accessed on November 13, 2022. Keep reading if you have questions about his conduct as a broker.
In a dispute filed on August 28, 2022, an investor alleged that Christopher Evanson made unsuitable investment recommendations from December 17, 2021, to July 13, 2022. This dispute was denied by the firm.
However, investors should be aware that firms don’t need to allow an external review before denying disputes. Investors may be able to recover their funds by seeking out FINRA arbitration after a denial.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must take into account an investor’s tax status, age, risk tolerance, and other information described in their profile.
Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.
Christopher Evanson has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- 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
Christopher Evanson is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in California and Texas.
He has also worked for Wells Fargo Advisors (CRD#:19616) and Chase Investment Services (CRD#:25574).
Kurta Law Can Help
If you worked with Christopher Evanson 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.