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FINRA Broker Allegations

Allegations against: Chris David Abeyta

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Client alleges that he was not informed of abeyta's insurance sales incentives, upward commission bonuses and other conflicts of interest involved in the sale of one particular insurance product family over other alternatives. Client alleges he was not informed that aw insurance sales generated higher incentives to abeyta to sell insurance as opposed to offering standard awa/ria investment management fees. As a result, alleges violation of sec reg. Best interest and the colorado best interest rule. Client also alleges unauthorized disclosure of private client information without authorization.

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