COMPLAINTS Against MARK CHRISTIANSEN – Woodinville, WA
Mark Christiansen, formerly with United Planners Financial Services, Subject of Washington Securities Division Complaint
Have you lost money with financial advisor Mark A. Christiansen of Woodinville, Washington? The Law Firm of Israels & Neuman is investigating allegations made by the Washington Securities Division. Washington alleged that Christiansen failed to file an annual report on behalf of his registered investment advisory firm, Stages Financial. Christiansen was also terminated by his former brokerage firm, United Planners Financial Services, regarding allegations that he used unapproved emails and unapproved consolidated reports.
Mark Christiansen was a financial advisor and registered representative of United Planners Financial Services from September 2012 to July 2018. He worked at a branch office in Woodinville, Washington.
Brokerage firms like United Planners Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Seattle, Vancouver (Washington), and Denver, Colorado. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Washington and the Seattle area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against United Planners Financial Services.
Click to view: Christiansen, Mark Washington Complaint
Click to view: Christiansen, Mark BrokerCheck 8.20.19
If you lost money with Mark Christiansen or United Planners Financial Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.