Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christ Baltas (Baltas), previously associated with Worden Capital Management LLC, has at least 6 disclosable events. These events include 3 customer complaints, 3 regulatory events, alleging that Baltas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 07, 2022.
Respondent Baltas failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.