Erez Law is currently investigating Apollon Wealth Management, LLC advisor Michael Brinton (CRD# 1565431) regarding stock losses. He has been an investment advisor representative with Terra Wealth Management, LLC in Nashville, Tennessee, since 2022. He has been a finder with Parthenon Partners LLC in Brentwood, Tennessee, since 2017.
He was registered with Zermatt Securities, Inc. in Brentwood, Tennessee from 2019 to 2020, Cary Street Partners in Brentwood, Tennessee, from 2016 to 2019, and Stifel, Nicolaus & Company, Incorporated in Nashville, Tennessee, from 2005 to 2016. He was previously registered with UBS Financial Services Inc. in Weehawken, New Jersey, from 1998 to 2005, when he was terminated regarding, “Mr. Brinton received compensation from a third party hedge fund without prior written approval from the firm.
He was a wealth management advisor with Apollon Wealth Management, LLC in Nashville, Tennessee, from 2021 to 2022.
In April 2017, the New York Stock Exchange Division of Enforcement suspended him for three months and sanctioned him to pay a $10,000 monetary fine related to allegations that he engaged in outside business activities.
Michael Brinton Customer Complaints
He has been the subject of three customer complaints between 1991 and 2024, according to his CRD report. The most recent complaints were regarding:
July 2024. “Former customer alleges breach of fiduciary duty in connection with the management of advisory assets between July 2021 to February 2022.” The customer is seeking $1,200,000 in damages, and the case is currently pending. The complaint was regarding stock losses, and it took place while he was registered with Apollon Wealth Management, LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Apollon Wealth Management, LLC may be liable for investment or other losses suffered by Michael Brinton’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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