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Christopher Pollard Has Been Sanctioned by FINRA

Christopher PollardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Georgia-based Morgan Stanley broker/adviser Christopher Pollard has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pollard (CRD# 6143750).

Christopher Pollard has spent 3 years in the securities industry and was most recently recently registered with Morgan Stanley in Atlanta, Georgia (2013-2016). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer.

In July 2017 FINRA sanctioned him following allegations he “sent two letters on behalf of a prospective firm customer, to a third-party realtor falsely confirming that this prospective firm customer was his member firm’s customer with the financial ability to purchase a multi-million dollar home.” FINRA’s findings state further: “specifically, Pollard created, signed, and distributed a letter on his firm’s letterhead stating that the individual had the necessary funds to purchase a $5,000,000 home in full. Separately, Pollard created, signed, and distributed the second letter on his firm’s letterhead stating that the individual had the necessary funds to purchase an $8,000,000 home in full and that Pollard was managing the funds. The letters were misleading because the individual was not a firm customer, the individual did not have any funds at the firm, and the letters implied that Pollard had the authority to issue them when, in fact, he did not.” He was issued a 15-month suspension and a fine of $10,000.

In 2016 he was terminated from his position at Morgan Stanley Wealth Management following allegations involving the “creation of inaccurate correspondence.”

If you or someone you know has a complaint regarding Christopher Pollard, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.