Christopher Bond (Christopher Edward Bond CRD# 4658534) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD#: 7569) of Melville, NY. He was previously employed with Gunnallen Financial, Inc (CRD#:17609) of Tampa, FL and Ehrenkrantz King Nussbaum, Inc. (CRD#:113525, expelled by FINRA on 10/12/2012) of Melville, NY. He has been in the industry since 2003.
In a FINRA disciplinary action, Bond was discovered to have exercised discretions in four NSC customer brokerage accounts on 288 occasions without written authorization. While he did have their verbal permission, he also needed this permission in writing, in accordance with FINRA Rules 3260(b) and 2010.
The firm did not accept these customer accounts as discretionary and did not allow non-discretionary trading at the time of the trades, from July of 2019 through August of 2020. Bond also stated on a compliance questionnaire in September of 2020 that he did not engage in discretionary trading during the period of January of 2019 through June of 2020. FINRA imposed a $5,000 fine and a 15-day suspension in all capacities, from 3/7/2022 through 3/25/2022.
A previous disclosure in Bond’s CRD is dated 2/12/2020, and is a customer dispute alleging suitability, requesting damages of $250,000. The firm settled the claim for $75,000, and Bond did not contribute to the settlement.
Another previous customer dispute filed on 9/22/2016 alleged “unsuitability,” and requested damages of $546,735.00. This claim was closed without any action, and no additional information is available.
Bond’s two prior disclosures are misdemeanor criminal charges involving alcohol while driving.
- The first charge, filed on 6/18/2008, was first an “aggravated” unlicensed operator charge, but later amended to a lesser charge of operating a motor vehicle with a .08% BAC, to which Bond pled guilty.
- The second charge, filed on 1/26/2012, was first “operating a motor vehicle while in an intoxicated position,” but later amended to “operating a motor vehicle under drug or alcohol,” to which he also pled guilty.
No additional information is available for either of these charges.
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