Haselkorn & Thibaut Opens Investigation into Christopher Ziogas, Former Broker in Bristol, Connecticut
Are you an investor concerned about your accounts formerly managed by Christopher Ziogas (CRD 1110989)? With news of recent regulatory actions and criminal disclosures surfacing, Haselkorn & Thibaut, a national investment fraud law firm, has officially launched an investigation into Mr. Ziogas’s conduct while affiliated with Kestra Investment Services and LPL Financial in Bristol, CT. If you suspect any irregularities or have questions about your investments, read on. It’s critical to know your rights and options for a potential recovery of investment losses.
Who is Christopher Ziogas?
Christopher Ziogas is a former broker and financial advisor, last registered in Bristol, Connecticut. Over the course of his career, he was associated with reputable firms including:
- Kestra Investment Services, LLC (Bristol, CT)
- LPL Financial LLC (Bristol, CT)
- MetLife Securities Inc. (Glastonbury, CT)
He also operated under business affiliations such as Ziogas Financial and PeakMountain Advisors. Recently, his registration status changed significantly following serious regulatory and criminal disclosures.
Summary Table: Christopher Ziogas Profile and Broker-Dealer History
| Field | Value |
|---|---|
| Advisor Name | Mr. Christopher Ziogas |
| Advisor CRD | 1110989 |
| Broker-Dealers | Kestra Investment Services, LLC; LPL Financial LLC; MetLife Securities Inc. |
FINRA Bar and Regulatory Developments: What Investors Need to Know
In November 2025, FINRA (the Financial Industry Regulatory Authority) completed a regulatory action resulting in a permanent bar against Christopher Ziogas from acting as a broker. This action stemmed from Mr. Ziogas’s refusal to cooperate fully with a FINRA investigation—specifically, his failure to provide documents and information requested by regulators. Importantly, these requests were part of an inquiry into issues connected to a criminal case.
- What does a FINRA bar mean? It means Mr. Ziogas can no longer work in the securities industry as a registered broker, following serious findings or lack of cooperation with regulators.
- Why is this important for investors? A FINRA bar signals concerns about professional conduct and is a red flag indicating potential risk to clients.
To find the most current regulatory status, always check FINRA BrokerCheck using his CRD number (1110989).
Criminal Charges and Plea: Details Investors Should Understand
In November 2025, federal records reveal that Christopher Ziogas pleaded guilty in Connecticut federal court to multiple felonies. Specifically, key facts include:
- Plea to conspiracy to commit extortion under color of official right
- Plea to making false statements
- Plea to bank fraud
These criminal cases arose from activities intended to interfere with a state audit into a Medicaid provider (connected to Family Eye Care in Bristol, operated by his fiancée). Mr. Ziogas was found to have participated in schemes involving bribe payments to a senior state official to conceal overbilling. The potential criminal sentences for these counts are substantial, carrying maximum penalties of 5, 20, and 30 years, respectively.
Investment-Related Complaints and Disclosures: An Objective Assessment
It is important to highlight that, as of June 2024, public disclosure records did not show any formal customer complaints, lawsuits, or SEC regulatory orders involving investment losses connected to Mr. Ziogas. At that time:
- No reported customer complaints on his public record
- No employment terminations for cause listed
- No SEC or state regulatory orders associated with his advisory activities
- No civil litigation or bankruptcy filings
However, with the recent regulatory and criminal developments culminating in a permanent industry bar, new information may emerge as investors review their accounts. Haselkorn & Thibaut encourages all impacted clients to carefully review their statements and reach out for a confidential consultation.
Red Flags for Investors: What to Look For
If your account was formerly managed by Christopher Ziogas in Bristol, CT, consider the following red flags:
- Unexplained losses in your portfolio
- Transactions or withdrawals you don’t recognize
- Difficulty obtaining statements or communication from your advisor
- Complex or high-risk products sold without clear explanation
- Accounts transferred between multiple broker-dealers for unclear reasons
Concerned investors are encouraged to proactively review all documents, account statements, and communications dating back to Mr. Ziogas’s tenure at Kestra Investment Services, LPL Financial, or MetLife Securities.
How Haselkorn & Thibaut Can Help You
Haselkorn & Thibaut (investmentfraudlawyers.com) is a nationally recognized securities fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients. They handle cases nationwide and have an established track record representing victims of investment fraud and broker misconduct. No recovery, no fee—you pay nothing unless they are successful in recovering your losses.
If you or a loved one invested with Christopher Ziogas at Kestra, LPL Financial, or MetLife Securities and have concerns about how your account was handled, contact Haselkorn & Thibaut today for a free, confidential consultation.
- Get clarity on whether your investments were handled appropriately
- Understand your rights for recovery through FINRA arbitration or other avenues
- Receive personalized attention from a team focused on investor protection
Ready to take the next step? Have questions about Christopher Ziogas in Bristol, CT, Kestra Investment Services, or LPL Financial? Call Haselkorn & Thibaut at 1-888-885-7162 for your free case review. Time limits may apply to recover your losses—don’t wait.
Your recovery starts with a conversation. Protect your financial future today.
