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Aaron Paul Brodt of Ashton Thomas Private Wealth Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Aaron P. Brodt of Ashton Thomas Private Wealth?

Aaron Brodt (CRD #5017914) who is currently registered with Ashton Thomas Private Wealth and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations.

Prior to Ashton Thomas Private Wealth, Aaron Brodt was associated with Peachcap Securities and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ashton Thomas Private Wealth Broker Misconduct

In his career, Aaron Brodt has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses.

Three of Aaron Brodt’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Accelerated Capital for investment losses caused by Aaron Brodt’s alleged misconduct.

Allegations Against Aaron Brodt

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Claimants allege failure to perform due diligence and sales practice violations in regard to the purchase of two securities.
  • Claimants allege against the employing firm, by name, and against their adviser, by reference, negligence, gross negligence, misrepresentation/omission, failure to supervise, breach of fiduciary duty, breach of contract and control person liability in connection with the purchase of four investments for a total of $340,000. One of the investments was sold at a profit, while the other three have unrealized losses in an unspecified amount.
  • Through a letter from their attorney, clients allege Mr. Brodt recommended an unsuitable investment.
  • Through a letter from her attorney, the client alleges Mr. Brodt recommended an unsuitable investment.
  • The client expressed displeasure regarding his portfolio and the investments within.

Aaron Brodt Red Flags & Your Rights As An Investor

Of course, Aaron Brodt did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Aaron Brodt at Ashton Thomas Private Wealth on alert to review carefully the activity and performance of their accounts and question whether Aaron Brodt has engaged in any stockbroker misconduct that may have caused them investment losses.

There have been a large number of customer complaints at Ashton Thomas Private Wealth which also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Ashton Thomas Private Wealth

If you have questions about Ashton Thomas Private Wealth and/or Aaron Brodt and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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