Christopher Peter Tranchina

06/29/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Peter Tranchina CRD No. 5657849, Respondent. ‭Disciplinary Proceeding No. 2018058588501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Hours after member firm Homer, Townsend & Kent (“HTK”) fired Christopher Peter Tranchina and instructed him not to return to the office, Tranchina broke into his locked Office and stole client-related files belonging to HTK and its affiliated

05/18/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complaint, v. CHRISTOPHER PETER TRANCHINA (CRD No. 5657849), Respondent. Disciplinary Proceeding No. 2018058588501 Hearing Officer-DDM HEARING PANEL DECISION May 18, 2021 Respondent Christopher Peter Tranchina engaged in conversion and unauthorized access to firm information by breaking into his former firm's offices and taking customer files. For this misconduct, he is barred from associating with a

03/23/2023: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Christopher Peter Tranchina, Neptune, N.J., Respondent. Decision Complaint No. 2018058588501 Dated: March 23, 2023 Respondent acted unethically when he gained unauthorized access to firm information by breaking into his former employer’s office after business hours and removing customer files. Respondent failed to timely amend his Form U4 to disclose related criminal proceedings.

Reference 2018058588501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org