October 2017-Lakeway, Texas
According to publicly available records Christian L. Webb , (CRD# 1161075) , a currently unregistered stockbroker who was last registered with Dominion Investors Services of Horseshoe Bay, TX , discloses a termination from employment and an outstanding judgment/lien.
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 11/2016 Webb was discharged from LPL Financial where he had worked as far back as 1995 . LPL made the following allegation on Webb’s FINRA record: “Repeated failures to timely respond to inquiries from the firm’s compliance department.”
Webb left LPL for a few months 8/2015-12/2015 and was briefly employed by Cambridge Investment Research in Austin, TX.
Following his time at LPL Financial , Webb was employed by Dominion Investor Services in Lakeway, TX.
Webb discloses an outstanding judgement/lien to the IRS in the amount of $77,800.27.
If you have questions about an account in an account handled by Christian L. Webb, contact us to discuss your legal options.
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.
Florida-561 391 1900