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Investor Alleges Eric Christensen Misappropriated Investments

Eric Christensen (CRD #: 4719720), a broker registered with UBS Financial Services, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on July 16, 2022. If you want to learn more about his conduct as a broker, read on.

Investor Dispute

On April 28, 2022, an investor filed a dispute alleging Eric Christensen engaged in criminal theft and misappropriation from December 1, 2009, to June 25, 2019. The client sought $597,517.84 but the dispute was denied by the firm.

However, investors should know that firms can deny disputes without allowing a third-party review. Investors can still seek out FINRA arbitration or legal action following a denial and potentially recover their losses.

FINRA Rule 2150

FINRA Rule 2150 prohibits the wrongful use of investors’ funds. Criminal theft may qualify as a statutory disqualification, which prevents brokers from associating with any firm. 

Background Information

Eric Christensen has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Eric Christensen is a registered broker in 17 states and a registered investment adviser in Florida and Texas.

Kurta Law Can Help

If you worked with Eric Christensen 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 our firm only earns a fee if our securities attorneys recover money on your behalf.