{"id":2980,"date":"2015-07-31T00:00:00","date_gmt":"2015-07-31T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/christopher-veale-under-investigation-from-finra-after-churning-allegations\/"},"modified":"2015-07-31T00:00:00","modified_gmt":"2015-07-31T04:00:00","slug":"christopher-veale-under-investigation-from-finra-after-churning-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/christopher-veale-under-investigation-from-finra-after-churning-allegations\/","title":{"rendered":"Christopher Veale Under Investigation From FINRA After Churning Allegations"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Christopher-Veale-Under-Investigation-From-FINRA-After-Churning-Allegations.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"  wp-image-1638 aligncenter\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Christopher-Veale-Under-Investigation-From-FINRA-After-Churning-Allegations-1024x683.jpg\" alt=\"Christopher Veale Under Investigation From FINRA After Churning Allegations post by silverlaw.com\" width=\"394\" height=\"262\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Christopher-Veale-Under-Investigation-From-FINRA-After-Churning-Allegations-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Christopher-Veale-Under-Investigation-From-FINRA-After-Churning-Allegations-300x200.jpg 300w\" sizes=\"auto, (max-width: 394px) 100vw, 394px\" \/><\/a><\/h2>\n<h2>Disciplinary action Pending<\/h2>\n<\/p>\n<p>In April, <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2536489\"  target=\"_blank\">FINRA<\/a> initiated a regulatory investigation after Christopher Frederic Veale, most recently employed by Legend Securities, Inc., allegedly refused to provide documents requested by the agency in response to alleged rule violations. The purported violations involve business and outside business activities, as well as a potential violation of FINRA disclosure requirements in regard to outstanding liens, of which he has a great sum, according to FINRA.<\/p>\n<p>Veale\u2019s 18-year career in the securities industry has been fraught with dispute, both with FINRA and with customers. He has been employed by 18 firms, seven of which have since been expelled by FINRA, <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2536489\"  target=\"_blank\">according to its website<\/a>. Amongst other firms, Veale has been employed at John Thomas Financial, Meyers Associates, LP, and Blackwall Capital Markets, Inc.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/christopher-veale-under-investigation-from-finra-after-churning-allegations\/\"  title=\"Continue Reading Christopher Veale Under Investigation From FINRA After Churning Allegations\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Disciplinary action Pending In April, FINRA initiated a regulatory investigation after Christopher Frederic Veale, most recently employed by Legend Securities, Inc., allegedly refused to provide documents requested by the agency in response to alleged rule violations. The purported violations involve business and outside business activities, as well as a potential violation of FINRA disclosure requirements [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,592,605,595],"tags":[506,503,315],"class_list":["post-2980","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-finra-investor-alert","category-finra-regulatory-notice","category-investment-fraud","tag-christopher-veale-under-investigation","tag-finra-regulatory-notice-2","tag-securities-fraud"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Christopher Veale Under Investigation From FINRA After Churning Allegations &#8212; Securities Arbitration Lawyers Blog &#8212; July 31, 2015<\/title>\n<meta name=\"description\" content=\"Read this article on Christopher Veale Under Investigation From FINRA After Churning Allegations a post by silverlaw.com.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/christopher-veale-under-investigation-from-finra-after-churning-allegations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Christopher Veale Under Investigation From FINRA After Churning Allegations &#8212; 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