Last Updated: February 2024 (Atlanta, GA)
Chris Kirkland Investigation Summary
Here’s what you need to know about Atlanta, GA, stockbroker Chris Nel Kirkland:
- Name: Mr. Christopher Nelson Kirkland
- Current Employer: Avantax Investment Services
- DBA: Resurgens Investments, Legacy Capital Advisors
- Previous Firms: LPL Financial, Ameriprise Financial Services, IFG Advisory
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Chris Kirkland, Christopher Nel Kirkland
- Primary Location: Atlanta, GA
- CRD 2293119
- Can Chris Kirkland be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $284,000
- Pending Customer Dispute Seeks Damages of $473,739
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Chris Kirkland As Your Stockbroker?
In 1/2024 a customer of Avantax Investment Services was paid $284,000 to resolve allegations that Chris Kirkland recommended an investment in structured notes that was not suitable.
Another customer of Avantax Investment Services has a similar allegation regarding the recommendation Chris Kirkland to invest in unsuitable structured notes. IN a FINRA arbitration filed in 12/2023 that customer also alleges that the investments were unauthorized and is seeking damages of $473,739.
[LEARN MORE]: What is Unauthorized Trading?
[LEARN MORE]: Other Cases Involving Unauthorized Trading
Allegations of Broker Misconduct Against Chris Kirkland
Customers of Chris Kirkland have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in structured notes
- Unauthorized Trading
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: See this for information on our other investigations involving Avantax brokers.
If you have suffered investment losses in an account handled by Chris Kirkland, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
