What Investors Should Know About Regulatory Actions and Customer Complaints Against Hightower Securities Hightower Securities, LLC (CRD#: 116681/SEC#: 8-53560) is a brokerage firm that is[…]
Investment Loss Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’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.
Information for Current and Former Investors of Ladenburg Thalmann & Co. Inc Ladenburg Thalmann & Co. Inc (CRD#: 505/SEC#: 8-17230) is a registered broker-dealer. Overseen[…]
What Investors Need to Know About Complaints and Regulatory Actions Involving Columbus Advisory Group Columbus Advisory Group (CRD#: 126331/SEC#: 8-65875) is a registered brokerage firm.[…]
Information for Current and Former Clients of Buckman, Buckman & Reid Buckman, Buckman & Reid, Inc. (CRD#: 23407/SEC#: 8-40413) is a registered brokerage firm that[…]
What Investors Should Know About Regulatory Complaints and Investors Complaints Brought Against Janney Montgomery Scott Janney Montgomery Scott LLC (CRD#: 463/SEC#: 801-7258,8-462) is a registered[…]
Information for Current and Former Clients of Capitol Securities Management, Inc. Capitol Securities Management, Inc. (CRD#: 14169/SEC#: 801-41033,8-30353) is a broker-dealer and investment advisory firm[…]
Information for Current and Former Clients of PFS Investments PFS Investments Inc. (CRD#: 10111/SEC#: 801-72263,8-26486) is a brokerage firm and investment advisory firm. Based in[…]
What Investors Need to Know About Regulatory Actions and Customer Complaints Involving Voya Financial Advisors Voya Financial Advisors (CRD#: 2882/SEC#: 801-46585,8-13987) is a brokerage firm[…]
Did your broker recommend UBS Yield Enhancement Strategy? This risky product is unsuitable for most investors. If your broker/advisor recommended this investment we may be[…]
Philip J. Nalesnik (CRD# 4561380) is a previously registered broker and investment advisor. From 2008 to 2018, Mr. Nalesnik was registered with LPL Financial in[…]