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[…]
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 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[…]
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[…]