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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:

Aegis Capital Corp. HD Vest Investment Services PHX Financial, Inc.
Ameriprise Financial Services Hornor Townsend & Kent Raymond James Financial Services
Ameritas Investment Corp Janney Montgomery Scott RBC Capital Markets, LLC
AXA Advisors, LLC J.D. Nicholas & Associates Robert W. Baird & Co.
BlackBook Capital, LLC JHS Capital Advisors, LLC Rockwell Global Capital LLC
Brookville Capital Partners Joseph Stone Capital, LLC Securities America
Cadaret Grant & Co. Kovack Securities Securities Service Network
Cambridge Investment Research Lincoln Financial Network Sigma Financial Corp
Cantone Research, Inc. LPL Financial, LLC SII Investments
Cetera Advisor Networks, LLC
Coastal Equities, Inc. Martinez-Ayme Securities Signator Investors
Craig Scott Capital, LLC Merrill Lynch (BOA) Spartan Securities Group, Ltd.
Dawson James Securities Merrimac Corporate Securities, Inc. Sterne, Agee & Leach, Inc.
Dynasty Capital Partners, Inc. MetLife Securities, Inc. Stifel Nicolaus & Company
1st Discount Brokerage, Inc. MML Investors Services, LLC Transamerica Financial Advisors
Financial Telesis Monex Securities, Inc. UBS Financial Services
Forefront Capital Markets, LLC Morgan Stanley Voya Financial Advisors, Inc.
FSC Securities Corp National Securities Corporation Waddell & Reed
Garden State Securities Newbridge Securities Corporation Wedbush Securities Inc.
Global Strategic Investments, LLC NFP Advisor Services Group Wells Fargo Advisors
ING Financial Partners NSM Securities, Inc.
Investacorp Oppenheimer & Co. 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


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