Category Archives: Peachcap (Peachtree Capital Corp)

Shelley Eddy-Peachcap Securities Broker-Discloses 5 Pending Customer Disputes- Atlanta, GA

June 2020 -Atlanta, GA

The FINRA records of Shelley L. Eddy  , a stockbroker registered with Peachcap Securities, Inc. , disclose 5 pending customer disputes and 2 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.

From December of 2019 until February of 2020, five  customers each filed customer disputes alleging among other things, customer sales practice violations, including unsuitable investment, failure to diversity, misrepresentation and omissions and mismanagement.   The total alleged damages are $193,000 and all of these cases are still pending.

Eddy has been employed with Peachcap Securities, Inc. since March of 2015 and has been with Peachcap Tax & Advisory since October of 2015.   Prior employment includes Curian Capital, Curian Clearing and SII Investments. 

If you have questions about an account handled by Shelley Eddy  call for a no charge consultation with an experienced securities attorney.

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.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Christopher Wenner- Former Peachtree Capital Broker-Discloses Pending Customer Dispute Over IRA Funds-Atlanta, GA

June 2020 -Atlanta, GA

The FINRA records of Christopher J. Wenner  , a stockbroker  previously registered with Peachtree Capital Corp. , disclose a  pending customer dispute.

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 #19-03415,  a customer of Wenner’s previous employer, UBS Financial Services, Inc., alleges that Wenner failed to discover or detect that her husband forged an IRA distribution form and two USB power of attorney forms and used these to fraudulently drain securities and funds from her account.   The claimant further alleges unsuitability and is seeking damages of $361,537.

Wenner was employed with Peachtree Capital Corp. from April 2016 until October of 2017.    Before that he was with UBS Financial Services, Inc.  

Wenner discloses a business affiliation as a portfolio manager and trader with The Pessego Funds.

If you have questions about an account handled by Christopher Wenner,  call for a no charge consultation with an experienced securities attorney .

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.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

David H. Miller-Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA

January 2020 – Atlanta, GA

The FINRA records of of David Harrison Miller , a stockbroker with Peachcap Securities, discloses 5 prior customer disputes and 2 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 June of 2019, a customer of PeachCap Securities Inc., and PeachCap Tax & Advisory customer was unhappy with the performance of his investment .   The alleged damages were $150,000.   That case settled for $50,000.

In April of 2019, a PeachCap Securities, Inc. and PeachCap Tax & Advisory customer was unhappy with the performance of their investment with an affiliated firm.   The alleged damages were $315,000.   The case settled for $315,000.

In February of 2019, another PeachCap Securities Inc., and PeachCap Tax & Advisory customer was unhappy with the performance of his investment and an affiliated firm.  This case settled for $100,000.

In October of 2019, a PeachCap Securities Inc., and PeachCap Tax & Advisory customer filed FINRA case #19-03001 alleging sales practice violations related to mismanagement of her accounts from October 2015 until October 2016 with alleged damages of $43,541.   This case is still pending.

In August of 2019, a PeachCap Securities Inc., and PeachCap Tax & Advisory customer filed FINRA case #19-02045 alleging damages of $1,200,000 on direct investments and LPs.   This case is still pending.

Miller has been  employed with Peachcap Securities since 10/2015.    He also discloses business affiliations with Miller Wealth Financial since August of 2008.

If you have problems in an account  handled by David Harrison Miller call for a no charge consultation with an experienced securities attorney .

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.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Aaron Brodt-Former Accelerated Capital Group Broker-Discloses Pending Customer Disputes

February 2020

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870