August 2016- Marlton, NJ
The FINRA records of Bryan O. Eberle, a stock broker who is currently employed by Client One Securities disclose two terminations from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In December 2015, Eberle was permitted to resign from LPL Financial who made the following allegation on his FINRA record:“Resigned following notification of Firm’s intention to terminate registration based on violation of Firm’s outside business activity policy”.
Bridge Wealth Advisors reports that Eberle was discharged in March 2015 and made the following allegation on Eberle’s FINRA record: “Advisor conspired with other advisors of the firm to remove client information from firm’s data base with the intent to start their own firm. Advisor left firm knowingly that he owed money to the firm. Advisor did not comply to his non compete and confidentiality agreement. Investigations are still pending.”
Eberle has been registered with Client One Securities since 1/2016. He was registered with LPL Financial from 10/2011-1/2016 & with AXA Advisors from 1/2011-11/2011 & with Bridge Wealth Advisors from 10/2011-3/2015.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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