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Christian Herrera Has Regulatory Sanction

Christian Herrera Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrera (CRD# 4158466).

Christian Herrera has spent 15 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since September 2015. Previous registrations include Spartan Capital Securities in New York, New York; Empire Asset Management Company in New York, New York; Garden State Securities in New York, New York; Great Eastern Securities in New York, New York; Gunnallen Financial in New York, New York; and Continental Broker-Dealer Corporation, which has since been expelled by FINRA, in Carle Place, New York. He is a registered broker with 23 US states and territories.

According to his BrokerCheck report, Christian Herrera has received two customer complaints and one regulatory sanction.

In 2013, a customer alleged Christian Herrera, while employed at Spartan Capital Securities, over-concentrated investments. The complaint settled in 2014 for $14,000, to which Mr. Herrera individually contributed $14,000.

In 2012, a customer alleged Christian Herrera, while employed at Spartan Capital Securities, executed unauthorized trades. The complaint settled for $2,500, to which Mr. Herrera individually contributed $2,500.

In 2011, a customer alleged Christian Herrera, while employed at Spartan Capital Securities, executed an unauthorized purchase of 10,000 shares of VLO. The customer sought $30,000 in damages in the complaint, which was closed with no action taken.

In August 2007, Christian Herrera filed for Chapter 7 bankruptcy in the United States Bankruptcy Court for the Eastern District of New York. The action was discharged in December 2007.

In 2004, the State of Missouri sanctioned Christian Herrera following allegations he failed to timely amend responses to questions in his Form U4. He was censured and issued a civil penalty.

In 2003, a customer alleged Christian Herrera, while employed at Continental Broker-Dealer, executed unauthorized trading. The customer sought $5,098 in damages in the complaint, which was denied.

In 2002, a customer alleged Christian Herrera, while employed at Continental Broker-Dealer, executed unauthorized trades. The customer sought damages exceeding $215,900 in the complaint, which was closed with no action taken.

If you have complaints regarding Christian Herrera, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.