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Brokerage Firm Regulatory Violations
Silver Law Group has significant experience representing institutional and retail investors in claims against all of the Wall Street giants and many smaller brokerage firms. Our lawyers routinely represent investors for claims ranging from unsuitable investment advice to Ponzi schemes. Our cases have involved all types of securities including stocks, bonds, exchange traded funds (ETFs), private placements, mortgage-backed securities, non-traded REITs, and alternative investments. The regulators responsible for the oversight brokerage firm activities to ensure compliance with the securities industry rules and regulations include, Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state regulators.
Brokerage firms with an extensive history of regulatory violations that have been subject to disciplinary actions by regulators should be a concern to investors. Securities industry rule and regulation violations of a particular brokerage firm may be an indication of inadequate supervision which is systemic within the brokerage firm and may still exist today. To learn more about your brokerage firm and whether any regulatory violations deserve your attention in the review of the handling of your investment accounts, we continue to investigate the following brokerage firms:
- Advisor Group
- Aegis Capital Corp.
- AllianceBernstein
- Ameriprise Financial Services
- Ameritas Investment Corp
- AXA Advisors, LLC
- BlackBook Capital, LLC
- Brookville Capital Partners
- Cadaret Grant & Co.
- Cambridge Investment Research
- Cantone Research, Inc.
- Cetera Advisor Networks, LLC
- Coastal Equities, Inc.
- Craig Scott Capital, LLC
- Dawson James Securities
- Dynasty Capital Partners, Inc.
- 1st Discount Brokerage, Inc.
- Financial Telesis
- First Standard Financial Company
- Forefront Capital Markets, LLC
- FSC Securities Corporation
- Garden State Securities
- Global Strategic Investments, LLC
- ING Financial Partners
- Investacorp
- HD Vest Investment Services
- Hornor Townsend & Kent
- Janney Montgomery Scott
- J.D. Nicholas & Associates
- JHS Capital Advisors, LLC
- Joseph Stone Capital, LLC
- Kovack Securities
- Lincoln Financial Network
- LPL Financial, LLC
- Martinez-Ayme Securities
- Merrill Lynch (BOA)
- Merrimac Corporate Securities, Inc.
- MetLife Securities, Inc.
- MML Investors Services, LLC
- Monex Securities, Inc.
- Morgan Stanley
- National Securities Corporation
- Newbridge Securities Corporation
- NFP Advisor Services Group
- NSM Securities, Inc.
- Oppenheimer & Co. Inc.
- PHX Financial, Inc.
- Raymond James Financial Services
- RBC Capital Markets, LLC
- Robert W. Baird & Co.
- Rockwell Global Capital LLC
- Royal Alliance Associates, Inc.
- Sagepoint Financial, Inc.
- Securities America
- Securities Service Network
- Sigma Financial Corp
- SII Investments
- Signator Investors
- Spartan Securities Group, Ltd.
- Sterne, Agee & Leach, Inc.
- Stifel Nicolaus & Company
- Transamerica Financial Advisors
- UBS Financial Services
- Voya Financial Advisors, Inc.
- Waddell & Reed
- Wedbush Securities Inc.
- Wells Fargo Advisors
- Woodbury Financial Services, Inc.
Silver Law Group is a nationally recognized law firm, with lawyers who have received Preeminent “AV” ratings from the Martindale-Hubbell® Directory , who handle all securities and investment related matters on a contingency fee basis. The Law Firm, at no cost to investors will review account activity and account statements to determine whether there was any misconduct, whether there are damages and the legal causes of action.
To learn more call us at (954) 755-4799 or Toll Free at (800) 975-4345
