The investment fraud attorneys at Sonn Law Group are currently investigating claims involving Sigma Financial Corporation (CRD#: 14303). Based in Ann Arbor, Michigan, this brokerage[…]
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.
Making a Commonwealth Financial Network Complaint Commonwealth Financial Network (CRD#: 8032), a brokerage firm headquartered in Waltham, Massachusetts. This firm is licensed to operate in[…]
Making a Complaint Against Wells Fargo Advisors At Sonn Law Group, our top-rated securities fraud lawyers are currently reviewing any and all investor complaints against[…]
Making a Complaint Against AXA Advisors Currently, the experienced investment fraud lawyers at Sonn Law Group are investigating claims against AXA Advisors (CRD#: 6627). This[…]
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[…]
Making a Park Avenue Securities Complaint The securities fraud lawyers at Sonn Law Group are currently investigating investor complaints against Park Avenue Securities. This brokerage[…]
Have you ever invested money with Legend Securities (CRD#: 44952)? If so, you need to be aware of the extensive history of complaints against this[…]
Have you invested any of your hard-earned capital with Presidential Brokerage (CRD#: 28784)? If so, you need to be aware of the recent history of[…]
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[…]
ProEquities is a Birmingham, Alabama-based broker-dealer and is licensed to operate in 53 U.S. states and territories. In this article our dedicated investment loss lawyers[…]