Christina Silvius Named in Suitability Dispute

Christina Silvius (CRD #: 4559574), a broker registered with Moloney Securities, allegedly violated FINRA Rule 2111, according to her BrokerCheck record, accessed on September 25, 2022. Investors may have also worked with her through Moloney Securities Asset Management. Keep reading to learn more about her conduct as a broker.

Investor Dispute

On August 2, 2022, an investor named Christina Silvius in unspecified allegations involving negligence and suitability in 2020. The client seeks $150,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 defines suitable investments as those that fit an investor’s profile. An investor’s profile includes information about their age, investments, and financial goals.

• Unsuitable investments may be high-risk and likely to lose money.
• Illiquid investments may be unsuitable because they are difficult to sell on short notice and investors may need to pay high fees when they attempt to do so.
• Securities can be quantitatively unsuitable, which means that the broker executed an excessive number of trades. 
• Investment strategies can also be unsuitable. For example, an investment strategy might be unsuitable if the broker overconcentrates their client’s account in a single stock or sector.

Investors who rely on their brokers for recommendations may be able to recoup their losses by pursuing FINRA arbitration.

What is broker negligence?

Brokers can act in many negligent ways, ranging from omitting or misrepresenting facts about investments to excessive or unauthorized trading. Investors who lose money due to broker negligence may be able to recover their funds by pursuing FINRA arbitration.

Background Information

Christina Silvius has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Christina Silvius is a registered broker in eight states and a registered investment adviser in Missouri and Texas.

She has also worked for Moloney Investment Advisory (CRD#:282140) and The O.N. Equity Sales Company (CRD#:2936).

Kurta Law Can Help

If you worked with Christina Silvius and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.