Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell

Chris Gammon Allegedly Failed in His Supervisory Duties

Chris Gammon

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Texas-based Calton & Associates broker/adviser Chris Gammon has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gammon (CRD# 2354523).

Chris Gammon has spent 23 years in the securities industry and has been registered with Calton & Associates in Houston, Texas since November 2017. Previous registrations include IMS Securities in Houston, Texas (1994-2017) and Retirement Investment Group in Houston, Texas (1993). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 3, 1993; Series 3 (National Commodity Futures Examination), which he obtained on November 18, 2002; Series 7 (General Securities Representative Examination), which he obtained on November 22, 1993; Series 4 (Registered Options Principal Examination), which he obtained on January 28, 2002; Series 27 (Financial and Operations Principal Examination), which he obtained on December 6, 1999; and Series 24 (General Securities Principal Examination), which he obtained on March 3, 1998. He is currently not registered as a broker or investment adviser with any US state.

According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.

In December 2017 a customer alleged Chris Gammon, while employed at IMS Securities, failed in his supervisory duties, violated state and federal securities laws, sold unsuitable securities, committed fraud, and breached his fiduciary duty. The customer is seeking $400,000 in damages in the pending complaint.

In 2016 a customer alleged Chris Gammon, while employed at IMS Securities, acted negligently, misrepresented material facts, breached his fiduciary duty, and failed in his supervisory duties in connection to real estate investment trust products. The customer is seeking $1,667,000 in damages in the pending complaint.

In 2004 a customer alleged Chris Gammon, while employed at IMS Securities, failed to supervise a registered representative accused of breach of contract and deceptive trade practices. The complaint, from which he was dismissed, settled in 2001 for $275,000.

In 2000 a customer alleged he, while employed at IMS Securities, failed to supervise a registered representative. The complaint, from which he was dismissed, settled in 2001 for $78,000.

If you or someone you know has lost money investing with Chris Gammon, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

Contact Information