The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Christopher Conroy. According to his publicly available FINRA BrokerCheck report, Christopher Conroy has been the subject of multiple customer disputes over the course of his career.

Christopher Conroy is a New York-based securities broker. He has worked in the securities industry for thirty-four years. During his career, he has been registered with seven different securities firms.

His Registrations

  • Laidlaw Adams & Peck (1986)
  • Smith Barney, Harris Upham & Co. (1986-1992)
  • Lehman Brothers Inc. (1992-1993)
  • Smith Barney Inc. (1993-1995)
  • Donaldson, Lufkin & Jenrette Securities Corporation (1995-2003)
  • Credit Suisse First Boston (2003-2004)
  • UBS Financial Services (2004-Present)

The Allegations

  • In January 1993, a customer alleged that Christopher Conroy recommended unsuitable investments. This case went to arbitration where the customer was awarded $5,000 in damages.
  • In September 2009, a customer alleged that Christopher Conroy recommended unsuitable investments and executed unauthorized trades. This case was settled for $72,500 in damages.
  • In July 2015, a customer alleged that Christopher Conroy executed unauthorized trades. This case was settled for $67,573 in damages.
  • In November 2016, he was sanctioned by FINRA following allegations that he exercised discretion in a customer’s account without the proper authorization. Due to his alleged actions, he was fined $5,000 and suspended from acting as a securities broker in any fashion for a period of ten business days.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages. Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Christopher Conroy, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.