Christopher Paul Anthony of Fort Worth, Texas, a stockbroker registered with Rhodes Securities, Inc., has been fired on April 28, 2015, based upon allegations that he placed unsuitable trades in customer accounts, exercised discretion in customer accounts, and failed to abide by the firm’s policies while on heightened supervision.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Anthony is the subject of two customer initiated investment related disputes containing allegations of Anthony’s misconduct while employed with Rhodes Securities, Inc. Particularly, on January 11, 2017, a customer filed an investment related arbitration claim involving Anthony’s conduct, in which the customer requested $2,000,000.00 in damages based upon allegations of breach of contract, negligence, and breach of fiduciary duty in regard to options and equities transactions effected in their account.
Thereafter, customer initiated investment related arbitration claim involving Anthony’s conduct was settled for $200,000.00 in damages based upon allegations that between 2014 to 2015, Anthony effected indexed exchange traded funds, foreign stocks, and options transactions in the customer’s account that were not suitable for the customer, while churning their investment portfolios. FINRA Arbitration No. 16-02297 (Mar. 8, 2017).
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