Articles Tagged with christopher paul anthony

Did you or someone you know lose money with Christopher Paul Anthony, a former registered representative with Rhodes Securities? If so, the Chicago-based attorneys of Stoltmann Law Offices may be able to help you recover those losses on a contingency fee basis. We bring claims against firms such as Rhodes Securities in the Financial Industry Regulatory Authority (FINRA) arbitration forum. Please call 312-332-4200 today for your free consultation about how you may be able to recover your losses. The call is free with no obligation.

Mr. Anthony has been accused of churning, failing to supervise, negligence, breach of fiduciary duty, breach of contract, trading with discretion, trading outside the investment objectives of his client’s accounts and recommending unsuitable investments in products such as Foreign stocks and Indexed Exchange-Traded Funds (ETFs). A broker must only recommend securities that are suitable for his clients by taking into account their net worth, age and investment portfolio objectives. ETFs tend to be risky and illiquid investments that are not suitable for all investors. Churning, also referred to as excessive trading, is a particularly egregious transgression of securities laws, because it is a tactic used primarily for the broker to make large commissions at the expense of the client.

Mr. Anthony was registered with Principal Financial Securities in Dallas, Texas from August 1983 until January 1995, Absolute Investments Inc. in Dallas from December 1994 until June 1995 and Rhodes Securities in Fort Worth, Texas from June 1995 until April 2015. He has two pending customer disputes against him and is currently not registered within the industry, according to his FINRA BrokerCheck online report.

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