Last Updated: February 2024 (Andover, MA)
Christopher LaFond Investigation Summary
Here’s what you need to know about Andover, MA, stockbroker Christopher LaFond:
- Name: Mr. Christopher Cassin LaFond
- Current Employer: Not currently registered with FINRA
- Previous Firms: Empower Financial Services, Fidelity Brokerage, GWFS Equities
- Function: Stock Broker/ Financial Advisor
- Aliases: Christopher LaFond
- Primary Location: Andover, MA
- CRD 6441374
- Can Christopher LaFond be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a Prior Employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Christopher LaFond As Your Stockbroker?
In 9/2022 Christopher LaFond was discharged by Empower Financial Services after he was found to have provided incorrect information when discussing account options to retirement plan participants.
Allegations of Broker Misconduct Against Christopher LaFond by Former Employer
A former employer of Christopher LaFond has alleged the following wrongdoing in connection with the handling of customer accounts:
- Provided incorrect information when discussing account options to retirement plan participants.
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
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.
If you have suffered investment losses in an account handled by Christopher LaFond, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
“How to Research Your Broker-What is a CRD?”
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.
