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Investor Alleges Michael Brinton Mismanaged Account

Feb 11, 2023 Investor Disputes

Michael Brinton (CRD #: 1565431), a broker formerly registered with Zermatt Securities, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on February 2, 2023. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On October 7, 2022, an investor alleged that Michael Brinton mismanaged his account. The client sought $700,000 in damages but the firm denied the dispute.

Investors should be aware, however, that firms can deny disputes without allowing an external review. Investors may be able to recover their losses by pursuing FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Tax Lien

On December 7, 2015, Michael Brinton was subject of a $21,429 tax lien.

Background Information

Michael Brinton has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He previously worked for the following firms:

  • Zermatt Securities (CRD#:47502)
  • Cary Street Partners (CRD#:128089)
  • Stifel, Nicolaus & Company (CRD#:793)
  • UBS Financial Services (CRD#:8174)
  • Prudential Securities (CRD#:7471)
  • J.C. Bradford & Company (CRD#:1287)

Kurta Law Can Help

If you worked with Michael Brinton and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.