Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Barrett Reynolds [CRD: 5976029, Canonsburg, Pennsylvania]. Reynolds worked for Pruco Securities LLC from September 2, 2021, to January 24, 2023, and Wesbanco Securities Inc. from May 5, 2017, to March 5, 2021. Recent client disputes and regulatory actions about Reynolds involve allegations of misconduct. Keep reading to learn more about these disclosures and their outcomes.
On August 16, 2024, FINRA initiated disciplinary action about Christopher Reynolds, accusing him of forging client signatures on 11 account documents for three clients without their permission. These documents, which included transfer of assets forms and withdrawal forms, were meant for the firm’s recordkeeping. Additionally, Reynolds supposedly violated the Securities Exchange Act of 1934 by recommending withdrawals from annuities and reinvesting the proceeds into registered index-linked annuities without considering the clients' best interests. He allegedly caused over $32,000 in penalties and adverse tax consequences for his clients. Pruco Securities LLC either reversed these transactions or paid restitution as a result. Notably, Reynolds was permanently barred from the securities industry.
On July 10, 2023, a client of Pruco Securities LLC made a complaint accusing Christopher Reynolds of failing to disclose important facts about the replacement of a policy, leading to taxable events. The client alleged $195,485 in damages due to the conduct. On June 25, 2024, the case settled, and the firm compensated the client $42,865.27.
On January 3, 2023, Pruco Securities LLC terminated Christopher Reynolds for allegedly submitting non-genuine client signatures on applications. The firm alleged that Reynolds aimed to bypass suitability reviews and failed to disclose that certain transactions were replacements. Supposedly, Reynolds used his personal email address to send client documents, a violation of firm policy.
If you’ve experienced issues related to Christopher Reynolds or other brokers, contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Reynolds and the firms he worked for deny any allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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