Securities Arbitration Lawyers BlogThe SEC Brings Christopher Brogdon to Justice After More Than a Decade of Fraudulent Activity
Allegations state that since 1992, Brogdon has conducted fraud through at least 43 of the entities he owns or controls
Former broker Christopher Brogdon, who was a licensed broker at Dean Witter Reynolds in New York from 1978 to 1991, was permanently barred from membership in the National Association of Securities Dealers (FINRA’s predecessor) and is now being brought to justice by the SEC.
With decades of misdoing shrouding his history, including making unauthorized trades and preparing inaccurate records while he was working for Harbor Twin Securities, and paying a fine in excess of $50,000, ten years after his broker’s license was revoked, Brogdon now faces a lawsuit by the SEC in an action that alleges that since 1992, he has conducted fraud through at least 43 of the entities he owns or controls.