Christopher J. Moran– Failure to Establish and Maintain Written Supervisory Procedures

ponzi scheme lawyers

Christopher J. Moran Allegedly Failed to Establish and Maintain Written Supervisory Procedures or a Supervisory System Concerning Offer and Sale of Private Placements Christopher J. Moran allegedly failed to establish and maintain written supervisory procedures or a supervisory system related to the offer and sale of private placements, such as the EDFC Notes, according to… Read more »

Christopher Moran Allegedly Failed to Supervise Sales of Notes Offered by Economic Development Finance Corporation

New York investor rights attorney

Between March of 2006 and July 2007, Christopher Moran allegedly failed to supervise Miles Bahl and Conrad Huss regarding the solicitation and sale of over $3 million worth of promissory notes in a private offering to 17 of Bahl’s customers, the FINRA Department of Enforcement alleges. In addition, the FINRA Department of Enforcement further notes,… Read more »