Brokerage Firm Disciplinary Actions


Klayman & Toskes, P.A. is a nationally recognized securities litigation law firm representing investor rights against brokerage firm locations throughout the United States. In the pursuit of profits, Wall Street firms have trampled on investor rights through sale tactics that fail to provide complete and balanced information about the risks and fees associated with of proprietary products. Our legal team has experience representing both investors and brokerage firms. The complex nature of securities litigation requires a complete understanding of the broad scope of regulatory rules and regulations that govern the oversight of brokerage firm activities regulated by the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state regulators.

Should brokerage firms with a history of regulatory violations and disciplinary actions be a concern to investors? Securities industry rule violations of a brokerage firm may be an indication of deficiencies in supervision and management which might be systemic within the brokerage firm and may still exist. To learn more about your brokerage firm and whether any disciplinary actions below are similar to the handling of your investment accounts, contact us to discuss your matter in detail.

Ameriprise Financial Merrill Lynch – BAC Stifel, Nicolaus & Co.
Commonwealth Securities Investacorp MML Investors
Raymond James AXA Advisors Summit Brokerage
First American Securities Feltl & Company Dawson James Securities
Morgan Stanley UBS Financial Services LPL Financial
Oriental Financial Services MetLife Securities Signator Securities
Next Financial Group Popular Securities Wedbush Securities

Klayman & Toskes, P.A. is a securities litigation law firm dedicated to the protection of investor rights. We can help investors who have suffered damages as the result of brokerage firm violations of FINRA sales practice rules and regulations.

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