The Financial Industry Regulatory Authority (FINRA) regulates over 3,600 brokerage firms, in addition to over 600k individual registered representatives. In 2017 alone FINRA expelled 21 firms from the financial services industry and suspended another 29.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their brokerage firm or investment advisor. We invite you to explore the articles below to get a sense of the regulatory history of many of the brokerage firms that are regulated by FINRA. If you see your brokerage firm’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
- Aegis Capital Corp Complaints
- Ameriprise Financial Complaints & Misconduct
- WFG Investments Inc: Information for Investors
- Western International Securities Complaints: Information for Investors
- AXA Advisors Complaints: Information for Investors
- Wunderlich Securities Complaints
- Kovack Securities Complaints: Information for Investors
- Charles Schwab Complaints & Information for Investors
- TD Ameritrade Complaints: Information for Investors
- Kestra Investment Services Review: Information for Investors
- Metlife Securities: Information for Investors
- Brokerage Firm Review: Hightower Securities, LLC
- Brokerage Firm Review: Ladenburg Thalmann & Co. Inc
- Brokerage Firm Review: Columbus Advisory Group
- Brokerage Firm Review: Buckman, Buckman & Reid, Inc.
- Brokerage Firm Review: Janney Montgomery Scott LLC
- Brokerage Firm Review: Capitol Securities Management, Inc.
- Brokerage Firm Review: PFS Investments Inc.
- Brokerage Firm Review: Voya Financial Advisors
- Brokerage Firm Review: Newbridge Securities
- Brokerage Firm Review: SagePoint Financial
- Brokerage Firm Review: Securities America Inc.
- Brokerage Firm Review: Cambridge Investment Research
- Brokerage Firm Review: LPL Financial LLC
- Brokerage Firm Review: HD Vest Financial Services
- Cetera Investment Services: Complaints & FINRA Enforcement Action
- Brokerage Firm Investigation: Fifth Third Securities
- Firm Investigation: Windsor Street Capital
- The GMS Group, LLC: History of Misconduct
- Source Capital Group: Information for Investors
- MML Investors Services, LLC: Information for Investors
- First Allied Securities: Information for Investors
- Folio Investments, Inc: Information for Investors
- Centaurus Financial: Information for Investors
- Signator Investors: Information for Investors
- Woodbury Financial Services: Information for Investors
- Oppenheimer & CO: Information for Investors
- Questar Capital: Information for Investors
- Presidential Brokerage: Information for Investors
- Wells Fargo Advisors: Information for Investors
- Raymond James Financial Services: Information for Investors
- National Planning Corporation: Information for Investors
- Next Financial Group: Information for Investors
- Sigma Financial Corporation: Information for Investors
- Commonwealth Financial Network: Information for Investors
- Navellier & Associates: Information for Investors
- Park Avenue Securities: Information for Investors
- ProEquities: Information for Investors
- Invest Financial Corporation: Information for Investors
- United Planners Financial Services: Information for Investors
- Purshe Kaplan Sterling Investments: Information for Investors
- Investigation: Woodbridge Group of Companies
- National Securities Corporation Reviews
- Woodstock Financial Group: Information for Investors
- Legend Securities: Information for Investors
- Southwest Securities: Information for Investors
- VSR Financial: Information for Investors