Scott Christensen Under Investigation by State of New Hampshire

Scott Christensen (CRD #: 1660074), a broker registered with Northwestern Mutual Investment Services, is involved in a pending state investigation, according to his BrokerCheck record, accessed on December 7, 2022. If you want to know more about his alleged conduct as a broker, read on.

Pending Investigation

On September 16, 2022, the New Hampshire Bureau of Securities Regulation launched an investigation into Scott Christensen’s alleged failure to supervise other brokers under his supervision who sent marketing emails to prospective investors containing misleading statements about their experience and client base.

This investigation is ongoing.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to maintain their compliance with securities regulations. This includes appointing supervisory personnel and providing them with Written Supervisory Procedures (WSPs) to guide their work.

FINRA Rule 2020

FINRA Rule 2020 bans the use of deceptive or manipulative tactics, like the misrepresentation or omission of material facts, as they relate to the purchase and sale of securities.

Background Information

Scott Christensen has passed the following exams:

• Series 66 – Uniform Combined State 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
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 12 – NYSE Branch Manager Examination

Scott Christensen is a registered broker in all 50 states and the District of Columbia. He is also a registered investment adviser in New Hampshire.

He has also worked for the following firms:

• Robert W. Baird & Company (CRD#:8158)
• Capital Analysts (CRD#:5478)
• Dean Witter Reynolds (CRD#:7556)

Kurta Law Can Help

If you worked with Scott Christensen 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.