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Vincent Sharpe Of PHX Financial And Formerly With Aegis Capital And National Securities Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Vincent Sharpe of PHX Financial?

Vincent Sharpe (CRD #5435813) who is currently registered with PHX Financial and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Vincent Sharpe was associated with Aegis Capital, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Vincent Sharpe Customer Complaints

Vincent Sharpe has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Vincent Sharpe’s 2 customer complaints were settled in favor of investors.

Allegations Against Vincent Sharpe

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

  • Client alleged misrepresentation or misleading information and churning/excessive trading by Vincent Sharpe.
  • Vincent Sharpe’s alleged unsuitability, unauthorized trading, churning, misrepresentation, negligence, breach of contract, breach of fiduciary duty, omission of material facts.

Vincent Sharpe Red Flags & Your Rights As An Investor

Of course, Vincent Sharpe 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 Vincent Sharpe at PHX Financial, Aegis Capital, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Vincent Sharpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PHX Financial, Aegis Capital, and National Securities also raises questions about the brokerage firms’ 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 PHX Financial Due To Vincent Sharpe

If you have questions about PHX Financial, Aegis Capital, National Securities, and/or Vincent Sharpe 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 $170 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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