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As a client, you put your money in the hands of someone you can trust. This is why it’s critical to understand everything there is to know about the individual managing your money. This knowledge might assist you in determining whether or not to work with a specific broker.

If you believe Christopher Phillips has caused you financial harm, we may be able to assist you with any concerns or issues you have.


Christopher Phillips Of RBC Capital Markets, LLC And Formerly With Merrill Lynch Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Christopher Phillips of RBC Capital Markets, LLC?

Christopher Phillips (CRD #4761544) who is currently registered with RBC Capital Markets, LLC and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Christopher Phillips was associated with Merrill Lynch Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Christopher Phillips Customer Complaints

Christopher Phillips has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Christopher Phillips’ customer complaints was denied and, to date, the customers have not taken any further action.  There is currently 1 pending customer complaint filed against Christopher Phillips’ current employer RBC Capital Markets, LLC for investment losses caused by the alleged misconduct.

Allegations Against Christopher Phillips

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment strategy related to oil and gas investments along with conflicts of interest.
  • Failure to diversify employee pension IRA accounts and overconcentration in oil and gas investments which was an unsuitable investment strategy.

Christopher Phillips Red Flags & Your Rights As An Investor

Of course, Christopher Phillips did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Phillips at RBC Capital Markets, LLC and Merrill Lynch Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Christopher Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and Merrill Lynch Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Christopher Phillips

If you have questions about RBC Capital Markets, LLC, Merrill Lynch Pierce, Fenner & Smith Incorporated, and/or Christopher Phillips and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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