Firm Investigations

Justine Cantafio (CRD #: 6158299), a previously registered broker with Hornor, Townsend & Kent, is the subject of a FINRA investigation. This is according to […]

The Investment Center (CRD #: 17839) is a brokerage firm with its headquarters in Bedminster, New Jersey. It has been registered with the SEC since […]

Kurta Law is investigating Western International Securities and potential misconduct allegations levied against its representatives. Keep reading if you have lost money working with a […]

Berthel, Fisher & Company Financial Services (CRD #: 13609) is a full-service independent broker-dealer with headquarters in Cedar Rapids, Iowa. This firm is a dually […]

Triad Advisors (CRD #: 25803) has 13 disclosures on its FINRA BrokerCheck record. Investors should be aware that the firm also employs brokers who have […]

Kurta Law is investigating securities recommendations from Pershing representatives. Investors who lost money after working with a Pershing broker may have a case for a […]

Calton & Associates (CRD #: 20999) is a brokerage firm and an investment advisory firm with its main address in Tampa, Florida. Investors should be […]

Brokerage firms employ analysts who publish research on stocks. This research can influence investors to buy a brokerage firm’s “top pick.” But do these picks […]

Arete Wealth Management (CRD #: 44856) is a brokerage firm that has been registered with the Securities and Exchange Commission since 1998. The firm’s headquarters […]

Merrill Lynch (CRD: 7691) is a giant in the securities industry. It is registered as both a brokerage firm and an investment advisory firm. Investors […]