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Christopher Fletcher Allegedly Implemented an Unsuitable Trading Strategy

Christopher Fletcher (CRD #: 4609694), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on February 13, 2024. Keep reading if you have questions regarding his alleged conduct. 

On October 12, 2023, an investor alleged that Christopher Fletcher implemented an unsuitable trading strategy. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. This rule also prohibits overconcentration, as placing too much of a portfolio in a single sector exposes the investor to unnecessary risk. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2111 also violate this rule. 

Background Information 

Christopher Fletcher has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 17 states and is a registered investment adviser in Connecticut and Texas. 

Christopher Fletcher has registered wtih the following firms since 2006: 

  • LPL Financial (CRD #: 6413) 
  • Integrated Wealth Concepts (CRD #: 284656) 
  • Lincoln Financial Advisors (CRD #: 3978) 
  • The Lincoln National Life Insurance Company (CRD #: 2580) 

Kurta Law Can Help 

If you have worked with Christopher Fletcher and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.