Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mccoy (Mccoy), previously associated with Calton & Associates, INC., has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Mccoy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 16, 2025.
Respondent admits that he provided materially untrue and incorrect information, within the meaning of Section 211 0(a)(2) of the Insurance Law, on his renewal application to act as an agent pursuant to Section 2103(a) of the Insurance Law, submitted to the Department on or about March 29, 2021, in that he failed to disclose that he was named or involved in two FINRA arbitration proceedings. Respondent hereby waives his right to notice and a hearing on said charges and agrees, in lieu of any other disciplinary action which might be taken by the Department in consequence of the foregoing, to the imposition of a penalty in the sum of Seven Hundred Fifty Dollars ($750.00}, receipt of which is hereby acknowledged. Respondent agrees to take all necessary steps to prevent the recurrence of similar violations and acknowledges that this Stipulation and any admission herein\, contained May be used against him if the Department, for any reason other than the specific acts herein considered, institutes disciplinary action.