October 16, 2015- Portland, Oregon
James G. Christianson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011 to November 2012 he effected approximately 822 purchases and sales of securities in three accounts of a customer and in more than half the transactions he did not discuss the transactions with the customers before placing them.
By such action Christianson exercised discretion without obtaining written authorizations from the customer in violation of FINRA and NASD Rules.
AWC No. 2012034397901
Christianson was fined $10,000 and suspended for 15 days.
According to FINRA records, Christianson was registered with Robert W. Baird from 11/2014 until the suspension. Prior to that he was registered with McAdams Wright Ragen from 9/2012-11/2014.
McAdams Wright Ragen was acquired by Robert W. Baird & Co. in 2014.
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