Christopher Joseph McCoy (CRD #4113108, Fairfield, Connecticut)

April 16, 2024 – An AWC was issued in which McCoy was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings, McCoy consented to the sanctions and to the entry of findings that he exercised discretion in customer accounts, some of whom were seniors, without prior written authorization from the customers, or permission from his member firm. The findings stated that although McCoy discussed investment strategy with the customers, he did not speak with them on the days of the trades. In addition, McCoy falsely attested in compliance questionnaires that he had not exercised discretionary trading authority over his customer’s accounts. The suspension was in effect from May 6, 2024, through June 5, 2024. (FINRA Case #2020067072101) If you have suffered losses as a result of Christopher Joseph McCoy's act and/or actions we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Christopher Joseph McCoy. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.