Broker Christopher Shaw has recently been discharged from Pruco Securities for allegedly participating in discretionary trades transactions and inaccurately marking certain trades as unsolicited when they were solicited, according to his FINRA Brokercheck page. North Carolina industry member Christopher John Shaw was reportedly discharged from Pruco Securities on September 2, 2020.
Investor lawyer Alan Rosca of the Rosca Scarlato LLC law firm is investigating conduct related to Christopher Shaw‘s alleged transacting discretionary trades in client brokerages accounts, inaccurately marking of certain trades as unsolicited when they were solicited, and multiple customer dispute disclosures alleging unsuitability.
Investors who believe they may have lost money in relation to Christopher Shaw‘s alleged broker misconduct are encouraged to contact Alan Rosca for a free case evaluation and discussion about their recovery options. Call 888-998-0530, email arosca@rscounsel.law, or fill out the contact form on this webpage.
Christopher Shaw is The Subject of Several Customer Dispute Disclosures
As reported on Christopher John Shaw‘s FINRA Brokercheck page, he has been subject of multiple customer dispute disclosures.
In July 2019, a customer filed a dispute alleging unsuitable investments in alternative securities between November 2012 and May 2017. The customer sought $450,000 for the alleged damages and on May 5, 2020, the dispute settled for $175,000.
In April 2020, a customer filed a dispute alleging they did not qualify as an accredited investor when they were solicited in 2016 by Christopher J. Shaw. The customer claims they have no recollection of signing subscription documents and has no memory of receiving or reviewing any offering memoranda. The customer is seeking $90,000 for the alleged damages..
Another customer filed a dispute in February 2020 alleging misrepresentation and unsuitable recommendations. The customer is seeking between $100,000 and $500,000 for the alleged damages.
Concerned about investments with
In November 2019, a customer who filed a dispute alleging breach of fiduciary duty and unsuitable investments in connection to alternative investments is seeking $350,000 for the alleged damages.
Investor lawyer Alan Rosca and his team are investigating allegations related to broker Christopher Shaw‘s employment separation with Pruco Securities and customer dispute disclosures alleging unsuitability, among others. Investors who believe they may have suffered a loss due to unsuitable recommendations or broker misconduct may contact an attorney at Rosca Scarlato for a free case evaluation. Call 888-998-0530, email at arosca@rscounsel.law, or fill out the contact form on this web page.
Christopher Shaw Has Been Registered with FINRA since 2005 and Switched Employers Five Times
Broker Christopher Shaw is currently registered with Newbridge Securities Corporation located in Belmont, North Carolina.
Shaw joined the securities industry in 2005. He was first employed with Blackbird North America located in Charlotte, North Carolina from December 2005 until May 2010.
He switched to Kalos Capital in September 2011 and he remained there until May 2019. While employed with Kalos Capital, Christopher John Shaw was also registered with Kalos Management from January 2017 until May 2019.
He then was registered with Pruco Securities from May 2019 and until September 2020. Christopher Shaw was terminated from Pruco Securities on September 2, 2020 for allegations of transacting discretionary trades in client brokerage accounts and inaccurately marking certain trades as unsolicited when they were solicited. He started working with his current employer, New Bridge Securities Corporation on September 24, 2020.
Concerned about investments with
If you believe you may have fallen victim to unsuitable recommendations, you are strongly encouraged to contact an attorney at Rosca Scarlato LLC law firm today. Call 888-998-0530, email us at arosca@rscounsel.law, or fill out the contact form on this page.
Investor Lawyers Investigating Potential Recovery Options
The Rosca Scarlato LLC law firm frequently represents investors who lose money as a result of broker misconduct such as, without limitation, unsuitable investment recommendations and material misrepresentations and omissions. The Rosca Scarlato investor lawyers are actively investigating allegations involving broker Christopher Shaw. The firm takes case of this type on a contingency fee basis and advances the case costs. We only get paid for fees and costs out of money recovered for clients.
Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases from arbitrations to class actions.
Investors who believe they lost money as a result of conducts related to alleged broker misconduct may contact attorney Alan Rosca for a free, no obligation evaluation of their recovery options by calling 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.
