Last Updated: July 2025 – Fort Worth, TX
Here’s what you need to know about Fort Worth, TX, stockbroker Jim Rhodes:
- Name: Jim Gordon Rhodes
- CRD Number:813870
- Current Employer: Rhodes Securities, Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: Fort Worth, TX
- Previously Registered With: Rhodes Investment Advisors, Inc.; Financial First Securities, Inc.; Texas Securities, Inc.; others
- Can Jim Rhodes be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? Yes
- Highest Settlement or Award:$810,000
If you’ve sustained damages from Mr. Rhodes, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jim Rhodes As Your Stockbroker?
Jim Gordon Rhodes was the subject of a FINRA arbitration filed under Case No. 16-03753, in which a customer of Rhodes Securities, Inc. alleged breach of fiduciary duty, negligence, and breach of contract involving listed equity and options investments. Filed in January 2017, the case was settled in July 2017, for $810,000.
Rhodes , while employed by Texas Securities, Inc. , was named in a final regulatory action by the National Association of Securities Dealers (NASD, predecessor to FINRA) in August 1984 (Case No. TEX-375-AWC). The sanctions included a censure and a joint fine of $5,000 against Rhodes and others. The violations cited involved serious deficiencies in recordkeeping and net capital requirements, misuse of customer securities, and failure to maintain required reserves.
Allegations of Broker Misconduct Against Jim Rhodes
- Improper use of customer margin and fully paid securities to collateralize firm loans (SEC Rules 15c2-1 and 15c3-3)
- Failure to maintain net capital and to notify regulators of deficiencies
- Breach of fiduciary duty, negligence, and breach of contract involving listed equities and options
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other Rhodes Securities Brokers
If you have suffered investment losses in an account handled by Jim Gordon Rhodes, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.