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FINRA Bars Former Worden Capital Broker Christ Baltas

Christ Baltas (Christ Elias Baltas CRD: 2570499) is a former registered broker whose last known employer was Worden Capital Management LLC (CRD#:148366) of Melville, NY. His previous employers include Wilmington Capital Securities, LLC (CRD#:133839) also of Melville, Kovack Securities Inc. (CRD#:44848) of Fort Lauderdale FL, and Quest Capital Strategies, Inc. (CRD#:16783) of Laguna Hills, CA. He has been in the industry since 1995.  In August of 2020, FINRA sent Baltas a notice to appear for on-the-record testimony in relation to its investigation of his supervision of a registered representative. This representative had made trading recommendations that were potentially unsuitable while Baltas was a supervisor. Although Baltas acknowledged receipt of FINRA's notice, he notified staff that he would not be appearing for testimony at any time.Christ Baltas (Christ Elias Baltas CRD: 2570499) is a former registered broker whose last known employer was Worden Capital Management LLC (CRD#:148366) of Melville, NY. His previous employers include Wilmington Capital Securities, LLC (CRD#:133839) also of Melville, Kovack Securities Inc. (CRD#:44848) of Fort Lauderdale FL, and Quest Capital Strategies, Inc. (CRD#:16783) of Laguna Hills, CA. He has been in the industry since 1995.

In August of 2020, FINRA sent Baltas a notice to appear for on-the-record testimony in relation to its investigation of his supervision of a registered representative. This representative had made trading recommendations that were potentially unsuitable while Baltas was a supervisor. Although Baltas acknowledged receipt of FINRA’s notice, he notified staff that he would not be appearing for testimony at any time.

After declining to assist with FINRA’s investigation, FINRA issued sanctions which include an indefinite bar from any association with an associated firm. After signing the Acceptance, Waiver & Consent (AWC) letter, consenting to the sanctions, he became barred on 9/22/2020.

Two additional disclosures are liens. The first is a tax lien from 2017 in the amount of $98,950.00, and the second is a civil lien in the amount of $2,301.20. No additional information is available.

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Our securities and investment fraud attorneys have handled hundreds of stockbroker misconduct cases representing investors in FINRA arbitration claims and other disputes. FINRA arbitration, commonly referred to as securities arbitration, is a way most stockbroker misconduct cases are resolved. The SEC mandates that all brokerage firms submit customer disputes to arbitration.

Customer account agreements typically require the customer to also agree to the process. The FINRA code of arbitration dictates the procedure which is intended to be faster and cheaper than going to court. Our attorneys have recovered millions of dollars for investors and are fully familiar with the unique language and requirements of the code of arbitration.

Our attorneys are admitted in New York and Florida and represent investors nationwide. Scott Silver, has written numerous articles on the FINRA arbitration process and frequently lectures young lawyers at conferences and law schools around the nation about the securities arbitration process. If you are looking for a FINRA arbitration attorney or believe you are the victim of securities or investment fraud, our attorneys are happy to consult with you at no cost to discuss your options.

Did You Invest With Christ Elias Baltas?

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today and let us know how we can help.

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