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Christopher Avery Allegedly Failed to Supervise

Christopher Avery (CRD #: 4706653), a broker registered with IBN Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 22, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On May 24, 2024, an investor alleged that Christopher Avery failed to supervise. The investor is seeking $633,000. 

Failure to Supervise: FINRA Rule 3110

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information 

Christopher Avery has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 99TO Operations Professional Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 4 Registered Options Principal Examination 

He is a registered investment adviser and broker in New York. He is also a registered broker in New Jersey, Pennsylvania, and Texas. 

During his 17 years of experience, Christopher Avery has registered with three firms: 

  • IBN Financial Services (CRD #: 42360) 
  • M&T Securities (CRD #: 17358) 
  • Pruco Securities (CRD #: 5685) 

Kurta Law Can Help 

If you have worked with Christopher Avery and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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