Christopher Hellman— Alleged Selling Away

Christopher Hellman Allegedly Sold Away & Failed to Fully Disclose Participation in Outside Business Activities

Christopher Hellman allegedly failed to adhere to firm standards regarding selling away and failure to fully disclose participation in outside business activities, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) under review by investor rights attorney Alan Rosca.

Christopher Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Boca Raton, Florida from September 21, 2016 until October 16, 2018, FINRA notes. Hellman has 8 disclosures in his 2 years in the securities industry, and was also registered with FMS Bonds, Inc. in North Miami Beach, Florida from January 11, 2016 until August 31, 2016, according to his FINRA BrokerCheck Report.

Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Christopher Hellman’s alleged selling away and failure to fully disclose participation in outside business activities. Investors who believe they may have lost money in activity related to Christopher Hellman’s alleged selling away and failure to fully disclose participation in outside business activities are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Christopher Hellman Barred by FINRA

Christopher Hellman has been barred by FINRA from associating with any FINRA member for alleged failure to provide FINRA with requested documents and information during its investigation into a matter after receiving a Form U5 filed by Merrill Lynch, Pierce, Fenner & Smith Inc., FINRA notes.

Hellman also settled a customer dispute filed on September 17, 2018, FINRA reports, and alleges misappropriation of funds on October 23, 2017. The damage amount requested was $600,000, and was settled for $440,000, FINRA states.

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated, and that Christopher Hellman reportedly consented to the FINRA settlement without admitting to or denying FINRA’s findings.

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Christopher Hellman’s alleged selling away and failure to fully disclose participation in outside business activities. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Ambien http://www.lbwr.org/ambien/ was taken by 3,660 patients in clinical trials conducted in the United States, Canada, and Europe. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Christopher Hellman’s alleged selling away and failure to fully disclose participation in outside business activities may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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