Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Florida-based Aegis Capital broker/adviser Christopher Norton has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Norton (CRD# 5386000).
Christopher Norton has spent nine years in the securities industry and has been registered with Aegis Capital in Boca Raton, Florida since 2015. Previous registrations include IAA Financial in Boca Raton, Florida (2012-2015); Obsidian Financial Group in Woodbury, New York (2011-2012); Brookestone Securities in Uniondale, New York (2011); Blackbook Capital in Northport, New York (2010-2011); Prestige Financial Center in Garden City, New York (2009-2010); John Thomas Financial in Hauppage, New York (2009); Obsidian Financial Group in Woodbury, New York (2008-2009); and Westrock Advisors in New York, New York (2007-2008). he has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 3, 2007, and Series 7 (General Securities Representative Examination), which he obtained on August 4, 2007. He is a registered broker and investment adviser with 42 US states and territories and with three self-regulatory organizations: FINRA, NYSE Arca, and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received one pending customer complaint.
In September 2017 a customer alleged Christopher Norton, while employed at Brookstone Securities, made unsuitable transactions, churned the account and financially exploited an elderly person in connection to investments in derivatives and listed equities. The customer is seeking $97,762 in damages in the pending complaint.
If you or someone you know has a complaint regarding Christopher Norton, 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.