Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 15, 2016 indicate that Connecticut-based National Securities Corporation broker Christopher Kazan has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kazan (CRD# 2966876).
Christopher Kazan has spent eighteen years in the securities industry and has been registered with National Securities in South Norwalk, Connecticut since 2015. Previous registrations include Maxim Group n New York, New York; Investec Ernst & Company in New York, New York; Ladenburg Thalmann & Company in New York, New York; Prime Charter in New York, New York; and Sands Brothers & Company in New York, New York. He is a registered broker with fourteen US states and territories: California, Connecticut, the District of Columbia, Florida, Illinois, Indiana, Iowa, Maryland, Massachusetts, Michigan, New York, Texas, Virginia, and Wisconsin.
According to his BrokerCheck report, Christopher Kazan has received two customer complaints and was discharged from his position at Maxim Group.
In September 2015 Christopher Kazan was terminated from Maxim Group following allegations “regarding unsuitable transactions.”
In August 2015 a customer alleged Christopher Kazan, while employed at Maxim Group, recommended unsuitable securities. The complaint settled in July 2016 for $85,000.
In 2008 a customer alleged Christopher Kazan, while employed at Maxim Group, misrepresented the assets behind an investment in a collateralized debt obligation. The customer sought damages exceeding $197,400 in the complaint, which was closed.
In 2004 a customer alleged Christopher Kazan, while employed at Maxim Group, executed unauthorized transactions. The customer sought more than $6,400 in damages in the complaint, which was denied.
In 2004 a customer alleged Christopher Kazan, while employed at Maxim Group, failed to execute a purchase order. The complaint settled for $9,000.
If you have lost money investing with Christopher Kazan, you may be entitled to recoup your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.