(CRD #2329016, Essex, Connecticut)

April 2, 2025 – An AWC was issued in which Harpin was fined $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Harpin consented to the sanctions and to the entry of findings that he caused solicited purchases of high-yield bonds in his customers’ accounts to be incorrectly marked as unsolicited, and as a result, caused his member firm to maintain inaccurate books and records. The findings stated that Harpin’s conduct continued despite being warned by the firm that solicited transactions involving high-yield bonds were prohibited. The suspension is in effect from May 5, 2025, through July 4, 2025. (FINRA Case #2021071460101) If you have suffered losses as a result of Christopher Taylor Harpin'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 Taylor Harpin. 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.