Christopher Andrew Carra (CRD #2214509, Registered Representative, Deerfield Beach,Florida)
was fined $20,000 and suspended from association with any FINRA member in any capacity for one year.
Without admitting or denying FINRA's findings, Carra consented to the described sanctions and to the entry of findings that he attempted to procure investment banking and consulting business from a publicly traded company and posted comments on an Internet message board about the company under numerous author names.
According to FINRA's findings, several statements in the postings were unwarranted and misleading; some involved conversations between his different handles in which he embellished the prospects for the company.
FINRA's findings stated that to make the postings, Carra used multiple outside or non-firm-provided email addresses, in violation of his member firm’s WSPs. Carra also used two outside email addresses to communicate with company representatives about business-related matters, in violation of his firm’s WSPs.
FINRA found that one of the outside email addresses may have given the impression that it was a firmprovided email address when it was not one.
The suspension is in effect from July 16, 2012, through July 15, 2013.
(FINRA Case #2011030840501)
This information was listed on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2012.”
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