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Christopher Mackenzie Allegedly Engaged in Negligent Conduct

Christopher Mackenzie (CRD #: 4164821), a broker registered with Investment Planners, allegedly acted negligently, according to his BrokerCheck record, accessed on August 28, 2022. Investors may have also worked with him through IPI Wealth Management. If you have questions about Christopher Mackenzie’s conduct as a broker, read on.

Investor Dispute

On June 27, 2022, an investor named Christopher Mackenzie in allegations involving unsuitable investments, negligence, and negligent supervision from 2013-2016. The client seeks $499,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take investors’ profiles into account when recommending investments. These profiles describe an investor’s tax status, risk tolerance, and financial goals.

Investors who rely on brokers for investment recommendations can pursue FINRA arbitration and potentially recover their losses.

Broker Negligence and FINRA Rule 3110

Brokers can behave in many negligent ways, ranging from unsuitable investment recommendations to unauthorized trading.

Negligent supervision violates FINRA Rule 3110, which requires firms to establish systems of supervision over their employees to identify and prevent violations of securities regulations.

Investors who feel their losses are the result of negligence can seek out FINRA arbitration and potentially recover their funds.

Background Information

Christopher Mackenzie has passed the following exams:

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

Christopher Mackenzie is a registered broker in 14 states and a registered investment adviser in Illinois.

Kurta Law Can Help

If you worked with Christopher Mackenzie and you have concerns about your investments, please contact us today at 877-600-0098 or 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.