Soreide Law Group has learned of possible investor claims against securities broker Christine Anne Warner (also known as Christine Anne Schneider) (CRD: 4001584, Mount Pleasant, Texas). Particularly, FINRA sanctioned the securities broker, who worked for Monticello Financial Group LLC. Allegedly, Warner failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Warner.
Particularly, FINRA issued Case: 2020065435401 on December 8, 2022, sanctioning Christine Warner for infractions. Allegedly, Warner failed to supervise two registered representatives’ involvement in variable annuity transactions.
Notably, Warner purportedly failed to identify that a representative understated information regarding surrender charges when that representative submitted annuity exchange requests. Supposedly, clients collectively experienced $227,584 in unreasonable surrender charges.
Also, Warner reportedly approved annuity exchanges by a representative who he knew had been terminated by a variable annuity issuer over his recommendations of early variable annuity liquidations. Therefore, Warner agreed to pay a $5,000 fine and serve a 40-day suspension as securities principal.
Have you sustained damages by investing with Christine Warner? If so, you can contact Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Warner and brokerage firms Warner worked for deny any and all allegations of sales practice violations.
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