Category Archives: Client One Securities

CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL

April 2017- Miami, FL

The FINRA records of  Charles M. McInnis (CRD # 1321666) ,  a  stockbroker who was previously employed by  Cambridge Investment Research, Inc.   disclose 3 final regulatory events,  3 customer disputes that are final, 1 termination and one recently resolved regulatory matter.

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 March of 2016, McInnis was permitted to resign from Cambridge Investment Research who made the following allegation in connection therewith: “Permitted to resign do (sic)  to ongoing FINRA matter related to supervisory events which occurred at previous firm.”

In April 2016,  FINRA suspended McInnis for 18 months to resolve  allegations that McInnis  failed to adequately assess investors eligibility in a Rule 144A and REG S offering.    Case # 20130380026

McInnis was registered with Client One Securities from 5/2016 to 6/2016.   He was previously registered  with Cambridge Securities Research from 1/2014 to 4/2016. Prior to that he was registered with CP Capital Services.

If you have losses in an account in an account handled by Charles McInnis, contact us to discuss how you may be able to recover damages for those losses.

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Harbour Investments Broker James Zifer Sanctioned by Securities Regulator

December 29,2014

James D. Zifer  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to disclose multiple federal and state tax liens on his Uniform Application for Securities Industry Registration.

According to the FINRA findings, there were three tax liens, totaling $131,000 entered against Zifer by the State of Ohio in 2009. In 2010 and 2011, seven additional tax liens entered against him. None were disclosed as required by industry rules.

Zifer  was suspended for two months and assessed a $10,000 fine.

According to FINRA records Zifer was registered with Harbour Investments, Inc,  from 8/2000-12/2013.  He is currently registered with Client One Securities, LLC.

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870