Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Harpin (Harpin), currently associated with Cambridge Investment Research, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Harpin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on May 01, 2025.
On April 2, 2025, without admitting or denying the findings, Christopher entered into an Acceptance, Waiver and Consent (‘AWC’) with FINRA wherein Christopher consented to the entry of findings that from August 2018 through April 2021, Christopher caused at least 638 solicited purchases of high-yield bonds in 53 of his customers’ accounts to be incorrectly marked as unsolicited when, in fact, Christopher had solicited the transactions. Christopher’s conduct continued despite being warned by the firm that solicited transactions involving high-yield bonds were prohibited. By causing these transactions to be mismarked, Christopher caused his firm to maintain inaccurate books and records. Respondent agreed to a two-month suspension from associating with any FINRA member in all capacities and to the payment of a fine in the amount of $5,000.