April 2017-Arlington, Texas
The FINRA records of Christopher P. Anthony, a stockbroker who is not currently registered and who was last employed by Rhodes Securities, Inc. disclose 2 currently pending customer disputes and a discharge 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.
Anthony is also affiliated with Great Lakes & Atlantic Wealth Management and Advisory Pnrs and Anthony Capital Management, and Seventh Street Partners.
In FINRA Case #16-02297, a customer of Rhodes Securities alleges damages of $100,000 for unsuitable investments, churning and failure to supervise in connection with the investment in options, foreign stock and index exchange traded funds (ETFs).
In FINRA Case #17-3753, filed 1/2017, a customer of Rhodes Securities alleges damages of $2 million for breach of fiduciary duty, negligence and breach of contract.
Anthony was discharged by Rhodes Securities 4/28/2015. Rhodes Securities made the following allegations on Anthony’s FINRA record in connection with the discharge: “Failure to adhere to heightened supervision. Trading with discretion and trading outside the investment objectives stated on the client accounts.”
If you have losses in an account in an account handled by Christopher P. Anthony contact us to discuss how you may be able to recover damages for those losses.
Rhodes Securities is headquartered in Ft. Worth, Texas, and has been a FINRA member since 1987. The company is registered to transact securities business in all fifty states and the District of Columbia.
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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