Last Updated: September 2023 (White Plains, NY)
Christopher Kazan Investigation Summary
Here’s what you need to know about White Plains, NY, stockbroker Christopher Kazan:
- Name: Mr. Christopher Kazan
- Current Employer: Not Currently Registered
- Previous Firms: Arete Wealth Management, National Securities Corp. , Maxim Group
- Function: Former Stock Broker/ Financial Advisor
- Aliases: Chris Kazan
- Primary Location: White Plains, NY
- CRD 2966876
- Can Chris Kazan be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by prior employer: Yes
- Highest Settlement: $85,000
- Pending Customer Disputes: Yes – Two claims seeking a total of $1.7 million
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Christopher Kazan As Your Stockbroker?
There are two disputes currently pending by customers of National Securities Corp. against Chris Kazan. One seeks damages of $200,000 and alleges unsuitable investment recommendations. The second one seeks $1.5 million and alleges that private placement recommendations were unsuitable and that Kazan did not fully disclose the commissions to be charged.
In 7/2016 a customer of Maxim Group was paid $85,000 to resolve allegations that Chris Kazan made unsuitable investment recommendations.
Chris Kazan was discharged by Maxim Group in 9/2015 who makes the following allegation on Kazan’s CRD: “Terminated due to allegations made by a customer regarding unsuitable transactions.”
Allegations of Broker Misconduct Against Christopher Kazan
Customers of Chris Kazan have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Failure to disclose commissions
- Unsuitable recommendation to invest in private placements
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Chris Kazan, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
