Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Washington-based UBS Financial Services broker/adviser Christopher Hemingson has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hemingson (CRD# 1607358).
Christopher Hemingson has spent 19 years in the securities industry and has been registered with UBS Financial Services in Bellingham, Washington since 2006. He was previously registered with Piper Jaffray & Company in Bellingham, Washington (1998-2006). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 29, 1998; Series 31 (Futures Managed Funds Examination), which he obtained on April 21, 2004; Series 7 (General Securities Representative Examination), which he obtained on April 21, 1998; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 14, 200; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 30, 2000. He is a registered broker and investment adviser with eleven US states: Arizona, California, Hawaii, Iowa, Montana, Oregon, South Carolina, Texas, Virginia, Washington and Wisconsin. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaints.
In November 2017 a customer alleged Christopher Hemingson, while employed at UBS Financial Services, misrepresented and omitted material facts and recommended unsuitable investments. The customer is seeking $277,863 in damages in the pending complaint.
In 2015 a customer alleged Christopher Hemingson, while employed at UBS Financial Services, failed to follow instructions to process her annuity paperwork and never advised or informed her of her opportunity to unwind its liquidation “before it was too late to do so.” The complaint settled for $9,146.
In 2003 a party of customers alleged Christopher Hemingson, while employed at Piper Jaffray, “pressured” them into a second mortgage so as to facilitate speculative investments and “mistakenly sold an annuity” when he was instructed to sell assets to cover the mortgage. The complaint settled for $9,999.
If you have lost money investing with Christopher Hemingson, you may be entitled to recoup your losses. Call the attorneys at 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 by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.