WFG Investments Inc Overview WFG Investments, Inc (CRD: 22704) is a brokerage firm with headquarters in Dallas, Texas. In recent years, this firm has also[…]
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.
Western International Securities Complaints Overview Western International Securities (CRD#: 39262) is a registered brokerage firm that was formed in Colorado and is now headquartered in[…]
Currently, the experienced investment fraud lawyers at Sonn Law Group are investigating claims against AXA Advisors (CRD#: 6627). This broker-dealer is based in New York,[…]
Wunderlich Securities Complaints Overview At Sonn Law Group, we are committed to protecting the interests of investors nationwide. Our investor protection team is currently[…]
The investment fraud attorneys at Sonn Law Group are actively investigating complaints against Kovack Securities (CRD#: 44848), a brokerage firm that is based in Fort[…]
Information About Charles Schwab Complaints & Investor Information Are you currently, or were you recently, a customer of Charles Schwab & CO, inc (CRD#: 5393)?[…]
What You Should Know About TD Ameritrade Complaints Do you currently have money invested with TD Ameritrade (CRD#: 7870), a broker-dealer operating in all 50[…]
Kestra Investment Services Reviews Kestra Investment Services (CRD#: 42046) is a Texas-based brokerage firm that is licensed to operate in all 50 states as well[…]
News About Metlife Complaints & Securities At Sonn Law Group, our experienced investment fraud lawyers are currently reviewing investor complaints against Metlife Securities (CRD#: 14251).[…]
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[…]