National investment loss lawyers KlaymanToskes is investigating broker Kristopher Kessler a/k/a Kit Charles Kessler (CRD# 4543640) of American Trust Investment Services, Asset Strategies and Chicago Capital Management Advisors, who is being investigated by the Financial Industry Regulatory Authority (“FINRA”) for engaging in an outside business activity without prior written notice to his firm and submitting false annual compliance certifications to his firm.
According to FINRA BrokerCheck, broker Kristopher Kessler a/k/a Kit Charles Kessler is currently registered with American Trust Investment Services, Asset Strategies, and Chicago Capital Management Advisors in Lisle, IL and San Clemente, CA. FINRA recently made a preliminary determination to recommend that disciplinary action be brought against Kristopher Kessler, alleging violation of the following securities industry rules:
Investors that suffered losses with broker Kristopher Kessler are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Kristopher Kessler:
If you suffered losses with broker Kristopher Kessler, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Kristopher Kessler. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage and investment advisory firms such as American Trust Investment Services, Asset Strategies, and Chicago Capital Management Advisors are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Kristopher Kessler or have concerns regarding your investment portfolio at American Trust Investment Services, Asset Strategies, and/or Chicago Capital Management Advisors, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.