Customer Alleged Gordon Rhodes Failed in His Supervisory Duties

Gordon Rhodes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that Texas-based Rhodes Securities broker/adviser Gordon Rhodes has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rhodes (CRD# 4763582).

Gordon Rhodes has spent 14 years in the securities industry and has been registered with Rhodes Securities in Fort Worth, Texas since 2004. He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 2, 2004; Series 7 (General Securities Representative Examination), which he obtained on March 10, 2004; Series 28 (Introducing Broker/Dealer Financial Operations Principal Examination), which he obtained on March 30, 2012; and Series 24 (General Securities Principal Examination), which he obtained on October 27, 2008. He is a registered broker and investment adviser with twenty US states and territories: Arkansas, California, Colorado, the District of Columbia, Florida, Illinois, Iowa, Kansas, Louisiana, Maryland, Minnesota, Missouri, New Jersey, New York, Ohio, Oklahoma, Texas, Utah, Virginia, and Wisconsin.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

In September 2017 a customer alleged Gordon Rhodes, while employed at Rhodes Securities, failed in his supervisory duties, breached his fiduciary duty, and made unsuitable investment recommendations involving over-the-counter equities. The customer is seeking damages in excess of $250,000 in the pending complaint.

In July 2017 a customer alleged Gordon Rhodes, while employed at Rhodes Securities, breached his fiduciary duty, acted negligently, and breached contract in connection to investments in common and preferred stock and options products. The complaint settled for $810,000.

If you or someone you know has lost money investing with Gordon Rhodes, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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