{"id":1053,"date":"2017-06-30T22:52:14","date_gmt":"2017-07-01T02:52:14","guid":{"rendered":"http:\/\/www.elderfinancialfraudattorneys.com\/?p=1053"},"modified":"2018-10-04T16:03:22","modified_gmt":"2018-10-04T20:03:22","slug":"finra-investigation-results-career-ending-decision-broker-christopher-ariola","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-investigation-results-career-ending-decision-broker-christopher-ariola\/","title":{"rendered":"FINRA Investigation Results in Career-Ending Decision for Broker Christopher Ariola"},"content":{"rendered":"<p><img decoding=\"async\" class=\"alignleft\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/06\/pic.jpg\" alt=\"pic.jpg\" \/><\/p>\n<h2 style=\"text-align: justify;\">Ariola allegedly made unsuitable recommendations in high-risk gold and energy stocks to elderly investors.<\/h2>\n<p style=\"text-align: justify;\">In December 2016, a <a href=\"http:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2012034139101_FDA_SL677783.pdf\"  rel=\"noopener\" target=\"_blank\"><span style=\"text-decoration: underline;\">disciplinary proceeding<\/span><\/a> by the Financial Industry Regulatory Authority (FINRA) resulted in broker Christopher Ariola being permanently barred from the securities industry. This decision followed a FINRA investigation into Ariola\u2019s termination from Bay Mutual due to the firm\u2019s concerns over recommendations he made to firm customers that were not consistent with firm guidelines.<\/p>\n<p style=\"text-align: justify;\">The investigation uncovered allegations of possible senior financial fraud in that he made unsuitable recommendations to four retirees with limited financial resources and who needed income from those resources. His reported recommendation that these unsophisticated investors concentrate their retirement assets in risky gold and energy stocks was inconsistent with their financial needs and objectives.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-investigation-results-career-ending-decision-broker-christopher-ariola\/\"  title=\"Continue Reading FINRA Investigation Results in Career-Ending Decision for Broker Christopher Ariola\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Ariola allegedly made unsuitable recommendations in high-risk gold and energy stocks to elderly investors. In December 2016, a disciplinary proceeding by the Financial Industry Regulatory Authority (FINRA) resulted in broker Christopher Ariola being permanently barred from the securities industry. This decision followed a FINRA investigation into Ariola\u2019s termination from Bay Mutual due to the firm\u2019s [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":1054,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1102],"tags":[9],"class_list":["post-1053","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-blog","tag-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Christopher Ariola : Elder Financial Fraud Alert<\/title>\n<meta name=\"description\" content=\"Christopher Ariola allegedly made unsuitable recommendations in high-risk gold and energy stocks to elderly investors, permanently barred by FINRA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link 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