Christopher Harpin Subject of Maryland Regulatory Action

Christopher Harpin (CRD #: 2329016), a broker formerly registered with Cambridge Investment Research, is the subject of a state regulatory action, according to his BrokerCheck record, accessed on June 28, 2025. If you have questions about his alleged conduct as a broker, read on.

Maryland Regulatory Action

On May 1, 2025, the State of Maryland Securities Commissioner initiated a regulatory action, citing a Letter of Acceptance, Waiver & Consent (AWC) that Christopher Harpin entered into with FINRA. Christopher Harpin consented to the entry of findings that he allegedly mismarked trades, causing his firm to maintain inaccurate books and records.

This regulatory action is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Suspension

On April 2, 2025, Christopher Harpin consented to the entry of findings that he allegedly inaccurately recorded at least 638 solicited transactions in 53 customer accounts as unsolicited from August 2018 through April 2021.

These transactions allegedly involved high-yield bonds, and Christopher Harpin’s firm had allegedly warned him that it prohibited solicited transactions involving these products. The AWC further alleged that the mismarking of trades caused his firm to keep inaccurate books and records.

The AWC concluded that these allegations constituted violations of FINRA Rules 4511 and 2010.

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.

Sanctions

Christopher Harpin consented to the following sanctions:

• Two-month suspension from associating with FINRA members
• $5,000 fine

His suspension began on May 5, 2025, and will end on July 4, 2025. You can read a copy of the AWC here.

Investor Dispute

On June 24, 2020, an investor named Christopher Harpin in allegations of fraud and untrue statements and omissions of material fact with regard to four brokerage accounts opened in January 2017 and June 2020. This dispute was settled for $590,000.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. The misrepresentation or omission of material facts violates this rule.

Background Information

Christopher Harpin has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

Christopher Harpin is a registered broker in eight states.

He has also worked for Lincoln Financial Securities (CRD#:3870) and Samuel A Ramirez & Company (CRD#:6963).

Kurta Law Can Help

If you worked with Christopher Harpin 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 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.