Dana P. Christofferson (CRD #6307499) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Dana P. Christofferson (CRD #6307499) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed her BrokerCheck report on March 12, 2026. It reflects one customer dispute. If you invested with Dana P. Christofferson and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Dana Christofferson’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On January 26, 2026, a customer alleged Dana Christofferson misled him into buying a Variable Universal Life policy and did not explain the fees and surrender charges. The customer also alleged he wanted the money to stay accessible and that the policy was not suitable. Dana Christofferson’s FINRA BrokerCheck disclosure states the firm reviewed the sale and found the policy matched the customer’s stated goals at the time of the recommendation. BrokerCheck also states the firm found the customer received enough information to make an informed decision, so it denied the complaint on February 17, 2026.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. A broker should match the product to the customer’s profile, including liquidity needs, risk tolerance, and financial goals.

Rule Summary #2: FINRA Rule 2210 (Communications with the Public)

FINRA Rule 2210 requires communications to be fair and balanced. A broker should not omit material facts or use statements that could mislead an investor about a product’s costs, features, or access to funds.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Dana Christofferson:

Is currently registered with Northwestern Mutual Investment Services, LLC in Ithaca, New York.

Has passed the Securities Industry Essentials (SIE) exam. Dana Christofferson has also passed Series 6 and Series 63.

Has no prior securities firm registrations listed on BrokerCheck.

Kurta Law Can Help

If you have worked with Dana Christofferson and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.