Articles Tagged with Christopher Shaw

shutterstock_132704474-300x200Advisor Christopher Shaw (Shaw), currently employed by Pruco Securities LLC (Pruco) and formerly employed by Kalos Capital, Inc. (Kalos) has been subject to at least three customer complaints during the course of his career.  According to a BrokerCheck report the customer complaints concerns alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  Shaw runs his securities business through a d/b/a called CJS Wealth Management.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

In February 2020 a customer complained that Shaw violated the securities laws by alleging that Shaw engaged in sales practice violations related to engaging in misrepresentations and unsuitable recommendations.  The claim alleges $500,000 in damages and is currently pending.

In November 2019 a customer complained that Shaw violated the securities laws by alleging that Shaw engaged in sales practice violations related to breach of fiduciary duty and unsuitable investments.  The claim alleges $350,000 in damages and is currently pending.

In July 2019 a customer complained that Shaw violated the securities laws by alleging that Shaw engaged in sales practice violations related to unsuitable investments in alternative securities between November 2012 and May 2017.  The claim alleges $450,000 in damages and is currently pending.

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