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.
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