Eric Ross Christensen (CRD #4719720) Has Customer Dispute Disclosures on FINRA BrokerCheck

Eric Ross Christensen (CRD #4719720) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 20, 2026. It reflects four customer dispute disclosures. If you invested with Eric Christensen and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Eric Christensen’s FINRA BrokerCheck Report reflects four customer dispute disclosures. Two examples appear below. Two additional customer dispute disclosures are also listed in the report.

On February 18, 2026, a trustee alleged he and a client associate failed to follow instructions to purchase a money market. The damages were estimated to exceed $5,000. UBS Financial Services Inc. denied the complaint on March 6, 2026. Christensen stated that the trust had two co-trustees and that he could not act without both approvals.

On April 28, 2022, a client alleged criminal theft and misappropriation. The claimed damages were $597,517.84. UBS Financial Services Inc. denied that complaint on May 12, 2022.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires brokers and firms to observe high standards of commercial honor and just and equitable principles of trade. Customer disputes that involve claims about mishandled instructions or misuse of funds can raise concerns under this rule.

Rule Summary #2: FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds)

FINRA Rule 2150 bars improper use of a customer’s securities or funds. Allegations of theft, misappropriation, or other misuse of client assets often lead investors to review this rule.

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 his FINRA BrokerCheck report, Eric Christensen:

Is currently registered with UBS Financial Services Inc.

Has passed the Securities Industry Essentials (SIE) exam. Eric Christensen has also passed Series 31, Series 7, and Series 66.

Has no prior securities firm registrations reported in the BrokerCheck report.

Kurta Law Can Help

If you have worked with Eric Christensen and you have concerns about his 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.