Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2017 indicate that Texas-based Ascendant Alternative Strategies broker Trevor Carney has received a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Carney (CRD# 5657735).
Trevor Carney has spent five years in the securities industry and has been registered with Ascendant Alternative Strategies in Austin, Texas since March 2017. Previous registrations include Axiom Capital Management in Austin, Texas; KBR Capital Markets in Newport Beach, California; and Direct Capital Securities in Austin, Texas. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with ten US states and territories: Arkansas, Iowa, Kansas, Louisiana, Nebraska, New York, North Dakota, South Dakota, Texas and Wyoming.
According to his BrokerCheck report, he has received one regulatory sanction and two judgments or liens.
In June 2017 the State of Texas sanctioned him following allegations he failed “to disclose information required by the form U4 constitutes a violation of a Board Rule.” He was issued a reprimand and a fine of $7,500.
In 2009 the Internal Revenue Service filed a lien totaling $138,733 against Trevor Carney. The lien remains outstanding.
In 2008 the Internal Revenue Service filed a lien totaling $101,675 against Trevor Carney. The lien remains outstanding.
If you have lost money investing with Trevor Carney, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.