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[…]
Brokerage Firm Reviews
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.
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[…]
What current and prospective clients should know about complaints and regulatory actions against Newbridge Securities Newbridge Securities Corporation (CRD#: 104065) is a registered broker-dealer headquartered[…]
What current and prospective clients should know about complaints and regulatory actions against SagePoint Financial SagePoint Financial (CRD#: 133763) is a brokerage firm and investment[…]