Christopher Riggs (CRD #: 4133082), a broker registered with LPL Financial, is involved in an investor dispute over unsuitable investments, according to his BrokerCheck record, accessed on December 31, 2020. There are several other disputes on his record, the details of which are provided below.
On November 3, 2020, an investor alleged that Christopher Riggs recommended unsuitable investments. The investor is seeking $65,000; the dispute is pending.
On October 8, 2019, an investor alleged that Riggs made unsuitable investment recommendations and misrepresented unsuitable Real Estate Investment Trusts (REITs), which can be quite risky. The activity period lasted from 2014 to 2019, and the investor sought $48,500. The dispute was denied by the firm, which can happen without the dispute entering into arbitration.
On July 2, 2010, an investor alleged that Christopher Riggs misrepresented unsuitable investments, specifically involving bonds and a mutual fund. The investor sought $30,077; the dispute settled for $18,000.
Christopher Riggs has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 24 General Securities Principal Examination. He is a registered broker in 13 states and registered investment adviser in Texas and Virginia.
During his 20 years in the securities industry, Riggs has worked at the following firms:
- LPL Financial (CRD #: 6413)
- Edward Jones (CRD #: 250)
If Christopher Riggs was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.