Christopher Conroy is a New York-based securities broker. He has worked in the securities industry for thirty-three years. During his career, he has been registered with seven different securities firms.
His registrations include; 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), and UBS Financial Services (2004-Present).
Christopher Conroy’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In January 1993, a customer alleged unsuitability. This case went to arbitration where the customer was awarded $5,000 in damages.
In September 2009, a customer alleged unsuitable investment recommendations and unauthorized trading. This case was settled for $72,500 in damages.
In July 2015, a customer alleged unauthorized trading. 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 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.