Christopher F. Veale submitted a Settlement Offer on July 29, 2015. Veale was a registered representative with Legend Securities until February 20, 2015, when he was terminated from the firm. At the time, Veale was also working for Legend Advance Funding, which he did not disclose to his firm, Legend Securities. The Financial Industry Regulatory Authority (FINRA) was investigating Veale for outside business activities while he was associated with Legend. Veale was sanctioned on August 18, 2015, suspended from associating with any FINRA member in any capacity for a period of 12 months and fined $5,000.
Veale was associated with Stratton Oakmont, H.J. Meyers & Co., D.L. Cromwell Investments, Inc., IAR Securities Corp, E.C. Capital, Winchester Investment Services, Sands Brothers, S.W. Bach & Company, New York Global Securities, Great Eastern Securities, The Concord Equity Group, Maximum Financial Investment Group, Franklin Christopher Investment Bankers, Brookville Capital Partners, Blackwall Capital Markets, John Thomas Financial, and Legend Securities in New York, New York from May 2013 until February 2015. He has 12 customer disputes against him, one of which is currently pending.
If you invested money with Christopher F. Veale, you may be able to bring a claim against Legend Securities, his former firm. They had a duty to reasonably supervise him while he was employed with them, so they may be liable for investment losses. Please call our securities law firm at 312-332-4200 to speak with an attorney about your options. We sue firms such as Legend Securities in the FINRA arbitration forum. The call is free with no obligation and we take cases on a contingency fee basis.
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