The Financial Industry Regulatory Authority (FINRA) has barred Christopher J Carpenter, a former Major League Baseball pitcher who became a financial advisor, formerly with LPL Financial in Charlotte, North Carolina, from the industry for allegedly failing to provide information relating to an investigation of unauthorized real estate investments, according to a recent article in Barron’s.
Without admitting or denying FINRA’s findings, Christopher J Carpenter consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested by FINRA.
FINRA’s findings stated that this matter originated from FINRA's review of the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Carpenter's member firm stating that the firm was reviewing his alleged participation in unapproved real estate investments with clients.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Christopher J Carpenter, had been in the securities industry for 6 years, and had been registered as a broker and an investment advisor since 2016. Carpenter left LPL Financial, February 1, 2023. Carpenter had been listed with 4 firms in 6 years. Carpenter began his securities career in 2016 with Stifel, Nicolaus & Co. in White Plains, New York, he left after six months for Janney Montogomery Scott in Purchase, New York. Carpenter joined Spire Securities, LLC of Charlotte, North Carolina in 2017 then went on to LPL Financial of Charlotte, North Carolina in 2020. According to the AdvisorHub article, SilverRock Wealth Partners affiliated with LPL in March of 2020 through an independent advisory firm, Independent Advisors Alliance.
According to AdvisorHub, Carpenter was drafted by the Chicago Cubs in 2008 as a pitcher and also played for the Boston Red Sox and Tokyo Yakult Swallows. Christopher J Carpenter was with the Cincinnati Reds for two months in 2015 before becoming a coach in Boston.
If you experienced investment losses due to the actions or recommendations of former LPL Financial advisor, Christopher J Carpenter, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationally before FINRA on a contingency fee basis, no fee if no recovery.
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