The FINRA records of Aaron Paul Brodt , an advisor with Ashton Thomas Private Wealth who is currently registered with Peachtree Capital Corporation , disclose 2 currently pending customer disputes.
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 one case, a client alleges damages of $100,000 for recommending an unsuitable investment purchased in May 2015. In a second case disclosed by Brodt, clients allege Brodt recommended an unsuitable investment with they purchased in May and October of 2015 and seek damages of $200,000.
Brodt has been registered with Peachtree Capital Corporation since 7/2016. Prior to that he was registered with Accelerated Capital Group from 2/2012-5/2016. Before that Brodt was registered with Meridian United Capital.
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.
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