Soreide Law Group, 888-760-6552, obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.”
Christopher Lawrence Norris (CRD #4007080, Lakeland, Florida)
was barred by FINRA for allegedly misappropriating $19,873.19 from a property owners association for which he served as a treasurer and sat on its board of directors.
FINRA’s findings stated that Christopher L. Norris misappropriated the funds by forging another property owners association board member’s name on a property owners association check made payable to Norris. Norris’ position as treasurer afforded him access to the property owners association’s check book and bank accounts.
FINRA’s findings also stated that Norris failed to appear for FINRA on-the-record testimony. (FINRA Case #2015045744402)
Christopher L. Norris worked 15 years in the securities industry. FINRA has permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public.
Some of the firms Norris was registered with were:
02/2012 - 07/2015 METLIFE INVESTORS DISTRIBUTION COMPANY - NEW YORK CITY, NY
12/2010 - 07/2015 METLIFE SECURITIES INC. - LONG ISLAND CITY, NY
02/2012 - 01/2015 NEW ENGLAND SECURITIES - NEW YORK, NY
02/2012 - 09/2013 TOWER SQUARE SECURITIES, INC. - EL SEGUNDO, CA
02/2012 - 09/2013 WALNUT STREET SECURITIES, INC. - EL SEGUNDO, CA
12/2008 - 11/2010 J.W. COLE FINANCIAL, INC. - TAMPA, FL
08/2004 - 12/2008 ROYAL ALLIANCE ASSOCIATES, INC. - LAND O LAKES, FL
If you've suffered investment losses due to your broker or financial advisor's recommendations, call Soreide Law Group for a free consultation with an attorney: 888-760-6552.
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