Marilyn Ruth Zehntner of Forth Worth Texas a stockbroker currently registered with Rhodes Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer sought $250,000.00 in damages founded on allegations that fiduciary duties owed to the customer had been breached; trades effected in the customer’s account were not suitable for the customer; and over-the-counter equities transactions were not adequately supervised. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02370 (Sept. 20, 2017).
FINRA Public Disclosure additionally reveals that a customer initiated investment related arbitration claim concerning Zehntner’s conduct was settled for $810,000.00 in damages based upon accusations that contractual and fiduciary obligations had been breached; and the customer’s options and stock transactions were negligently handled. FINRA Arbitration No. 16-03753 (July 26, 2017).
Zehntner has been employed by Rhodes Securities Inc. since January 20, 2004.
