Category Archives: Ascendant Alternative Strategies

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX

January 2019 – Austin, TX

According to publicly available records Trevor Martin Carney  (CRD#5657735) ,  a  stockbroker who is currently registered with Ascendant Alternative Strategies  disclose a Regulatory Event and two currently outstanding judgment/liens.

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 June of 2017,  the Texas State Securities Board (TSSB) assessed Carney with an administrative fine $7,500 for failure to disclose changes of information in item 14M of regulatory form U4. Item 14M asks whether a broker has any outstanding judgments or liens.

According to the public information on Carney’s FINRA records he has outstanding liens to the Internal Revenue Service of $128,733 and $101,675.

Carney has been employed with Ascendant Alternative Strategies since March 2017.   He was previously employed with Axiom Capital Management from May 2014 to March 2017.

If you have questions about an investment account handled by Trevor Carney, contact us for a no charge consultation to learn about your legal options.

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

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Austin, TX

January 2019, Austin, TX

According to publicly available records  Aaron Douglas (Doug) Maurer , a stockbroker registered with Ascendant Alternative Strategies, discloses 5 prior customer disputes that were resolved by cash settlements.

The Financial 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 June 2016,  customers of Maurer’s prior employer,  RP Capital,  brought an action alleging misrepresentation, conflict of interest, suitability and supervision failures in connection with recommendations to make certain investments, including Aequitas .    The cases were settled  for $5,795,000.

Maurer has been employed by Ascendant Alternative Strategies since June of 2018.   Previously he was by RP Capital from January 2009 until April  2016. Maurer discloses a business affiliation with Institute for Wealth Consultants, dba Concert Wealth Management in Dallas, TX.

If you have questions about account handled by Aaron Douglas (Doug) Maurer, contact us for a no charge consultation to learn about your legal options for recovery of 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`

Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York

May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below)  from the FINRA registration records.

June 2017- New York

According to publicly available records Mark David Martino  (CRD#1010228) ,  a  stockbroker who currently is employed by Ascendant Alternative Strategies  discloses a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination 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 2003, without admitting or denying the allegations, Martino agreed to a $15,000 fine and 60 days supervisory suspension to resolve allegations that he failed to adequately supervise registered representatives related to the issuance of 4 research reports.

In pending FINRA arbitration 17-1008, a customer of Axiom Capital Management seeks damages of $305,191 and alleges that Axiom and Martino committed fraud, breach of fiduciary duty and made material misrepresentations in connection with the sale of private placement investments.

Martino was discharged from Shearson Lehman Hutton in 1988.

If you have questions about an account handled by Mark David Martino , contact us to discuss your options.

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