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Christopher Lazos Allegedly Purchased Unsuitable Investments on Client’s Behalf

Christopher Lazos (CRD #: 4563160), a broker registered with Oppenheimer & Company, allegedly made unsuitable investment purchases, according to his BrokerCheck record, accessed on June 16, 2022. Read on if you have questions about Christopher Lazos’s conduct as a broker.

Investor Dispute

In a dispute filed on April 21, 2022, an investor alleged that Christopher Lazos purchased unsuitable investments in his account during March 2021. This dispute is currently pending.

What is Suitability? 

An investment is only considered “suitable” if it meets the suitability criteria outlined in FINRA Rule 2111. A broker must have exercised due diligence and have an adequate reason for believing that an investment will also be suitable or beneficial for the investor. Investors who rely on their brokers for recommendations may be able to recover their losses through FINRA arbitration if their broker recommended an unsuitable investment. 

Background Information

Christopher Lazos has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

Christopher Lazos is a registered broker in 35 states, the District of Columbia, and Puerto Rico. He is also a registered investment adviser in New Jersey, New York, Texas, and Puerto Rico.

He has also worked for Maxim Group (CRD#:120708) and Ehrenkrantz King Nussbuam (CRD#:113525).

Kurta Law Can Help

If you worked with Christopher Lazos 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.