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Christopher Laffey Allegedly Made Misrepresentations

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
December 15, 2022 at 9:41pm

Christopher Laffey (CRD #: 859962), a broker registered with Alexander Capital, allegedly made misrepresentations, according to his BrokerCheck record, accessed on December 6, 2022. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On September 22, 2022, an investor alleged Christopher Laffey made misrepresentations and engaged in negligence starting in November 2019. This dispute is currently pending.

FINRA Rule 2020

The misrepresentation of information related to investments violates FINRA Rule 2020, which prohibits the use of deceptive, manipulative, and otherwise unethical methods to influence the purchase and sale of securities.

What is broker negligence?

Brokers may engage in many forms of negligent conduct. Common examples include making unsuitable investment recommendations, misrepresenting or omitting material facts, or executing unauthorized trades.

Investors who lose money through broker negligence can seek out FINRA arbitration and potentially recover their losses.

Background Information

Christopher Laffey has passed the following exams:

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

Christopher Laffey is a registered broker in 29 states.

He has also worked for the following firms:

  • Ladenburg Thalmann & Company (CRD#:505)
  • Gilford Securities (CRD#:8076)
  • H.C. Wainwright & Company (CRD#:375)
  • Legg Mason Wood Walker (CRD#:6555)
  • Wertheim Schroder & Company (CRD#:6112)
  • Tucker Anthony (CRD#:837)
  • Paine, Webber, Jackson & Curtis (CRD#:8174)
  • Paine, Webber, Jackson & Curtis (CRD#:640)
  • Blyth Eastman Dillon & Company (CRD#:6361)

Kurta Law Can Help

If you worked with Christopher Laffey 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. 

 

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