Christopher P. Anthony, of Fort Worth, Texas, a stockbroker formerly registered with Rhodes Securities, Inc., has been subject to a customer initiated investment related arbitration claim on August 10, 2016, in which the customer requested $100,000.00 in damages based upon allegations that from 2014 through 2015, Anthony churned the customer’s investment account, and effected unsuitable investment transactions in the customer’s account. Additionally, the customer alleged that Rhodes Securities, Inc. failed to supervise Anthony’s activities with the customer in this regard.
FINRA Public Disclosure reveals that Rhodes Securities, Inc. terminated Anthony on April 28, 2015, based upon allegations that Anthony traded in customer accounts in a manner which was inconsistent with the customer’s investment objectives, improperly utilized discretion in a customer’s account, and did not abide by the firm’s heightened supervision policy.
Guiliano Law Group
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