Chris McFadden Investigation
June 2022- Dallas, TX
According to publicly available records, Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX , discloses a regulatory suspension.
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.
In March of 2022, FINRA alleged that McFadden failed to respond to FINRA requests for information in connection with a regulatory investigation and ordered that McFadden was suspended from FINRA in all capacities for three months. In June 2022, the suspension was lifted.
McFadden was employed by Equitable Advisors from 3/20218/2021. Prior to that he was with LPL Financial, Lincoln Financial Securities, AXA Advisors, and Merrill Lynch, Pierce, Fenner & Smith.
If you have questions about an account handled by Chris McFadden, call to speak with an experienced securities attorney. No charge for initial consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Toll Free: 877-224-3199
Florida-561 391 1900