The FINRA records of Aaron Paul Brodt , a financial advisor who was last registered with Peachtree Securities , disclose a pending customer dispute and 4 prior 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 FINRA Case 16-2532, a client of Ashton Thomas Private Wealth alleged allege Brodt recommended an unsuitable investment with they purchased in May and October of 2015 and sought damages of $200,000. That case was settled for $116,667 in 12/2016.
In FINRA Case 17-1178 a customer of Accelerated Capital Group alleged that Brodt over concentrated their portfolio with alternative investments. That case was settled for $96,000 in 9/2018.
In currently pending FINRA case 19-2876 a customer of Accelerated Capital seeks damages of $430,000 for losses suffered in direct investments and limited partnerships.
Brodt was registered with Peachcap Securities from 7/2016 to 8/2018. Prior to that he was registered with Accelerated Capital Group from 2/2012-5/2016. Before that Brodt was registered with Meridian United Capital.
If you have questions about an account handled by former Peachcap Securities financial advisor Aaron Brodt, call to discuss 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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