Investors potentially experienced sales practice violations by securities broker Christopher Daniel Tully [CRD: 870889, New Rochelle, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Tully worked for Oppenheimer Co. Inc. from February 17, 2009, and has remained registered with the firm since November 18, 2011. Read on for a better understanding about disclosures involving this securities broker.
Notably, an Oppenheimer Co. Inc. client filed FINRA Arbitration No. 24-01445 about Christopher Tully. Primarily, the client alleged that Tully breached fiduciary duties, violated federal securities laws (Sections 10(b) and 20(a)), and was negligent, while also asserting breach of contract, negligent supervision, and violations of FINRA Rule 2020 related to an improper account opening. For this reason, the client allegedly incurred damages. Therefore, on January 14, 2026, Oppenheimer Co. Inc. settled this matter by paying the client $18,000 in damages.
Additionally, a client of PaineWebber Inc. contested Christopher Tully’s sales practices, according to a complaint. Allegedly, Tully made unsuitable recommendations involving limited partnership investments. It appears that Tully allegedly caused the client to suffer damages associated with those direct investments. Consequently, PaineWebber Inc. opted to settle the matter on July 1, 1994, by compensating the client in the amount of $35,000.
Do you have questions or concerns regarding investments you made with Christopher Tully? Get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances all costs. Tully and brokerage firms Tully worked for deny any accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com