It has been reported that a former TD Ameritrade broker named Ralph Wood, Jr., acted as an unregistered advisor to numerous customer accounts in the[…]
Brokerage Firm Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 3,700 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.
On June 19th, 2018, the SEC announced that investment fraud charges have been filed against five men and three companies, including the following: Perry Santillo;[…]
On June 6th, 2018, InvestmentNews.com reported that state securities industry regulators and the Financial Industry Regulatory Authority (FINRA) are ramping up enforcement action against registered[…]
LPL Financial is one of the largest financial services companies in the United States. The broker-dealer reports that it has more than $500 billion in[…]
If you bought a Variable Annuity from Fifth Third Bank between 2013 and 2015, call Sonn Law Group today, toll free, 1-833-StockLaw. Fifth Third Securities[…]
On May 7th, 2018, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Windsor Street Capital (CRD No. 34171), a brokerage firm that is[…]
Ameriprise Financial (CRD#: 6363) is a large financial services company headquartered in Minneapolis, Minnesota. As of February of 2018, this brokerage firm had 175 disclosures[…]
The Sonn Law Group is currently investigating The GMS Group, LLC (CRD #8000), a brokerage firm headquartered in Livingston New Jersey. Over the course of[…]
Source Capital Group (CRD#: 36719) is a brokerage firm that was established in the state of Delaware in 1994. At this time this article has[…]
WFG Investments, Inc (CRD: 22704) is a brokerage firm with headquarters in Dallas, Texas. In recent years, this firm has also done business under other[…]