Independent Brokerage Firm Investigations

• Brokerage Firm Review: Concourse Financial Group Securities, Inc. F/K/A ProEquities, Inc.
• Brokerage Firm Review: Ladenburg Thalmann & Co. Inc.
• Securities America Complaints & Regulatory Actions
• Brokerage Firm Review: Triad Advisors LLC
• Raymond James Complaints & Regulatory Actions
• Brokerage Firm Review: PlanMember Securities Corporation
• Brokerage Firm Review: Grove Point Investments, LLC Grove Point f/k/a H. Beck, Inc.
• Brokerage Firm Review: The Leaders Group, Inc.
• Brokerage Firm Review: Commonwealth Financial Network
• LPL Financial Complaints & Regulatory Actions
• Brokerage Firm Review: Northwestern Mutual Investment Services, LLC
• Brokerage Firm Review: Equitable Advisors, LLC f/k/a AXA Equitable Advisors, LLC
• Brokerage Firm Review: The O.N. Equity Sales Company
• Brokerage Firm Review: Ameritas Investment Company, LLC
• Brokerage Firm Review: Royal Alliance Associates, Inc.
• Brokerage Firm Review: United Planners’ Financial Services of America A Limited Partner
• Brokerage Firm Review: LaSalle St Securities, LLC
• Brokerage Firm Review: Kestra Investment Services, LLC
• Ameriprise Financial Services Complaints & Regulatory Actions
• Brokerage Firm Review: Sagepoint Financial, Inc.
• Brokerage Firm Review: Packerland Brokerage Services, Inc.
• Brokerage Firm Review: J.W. Cole Financial, Inc.
• Brokerage Firm Review: American Portfolios Financial Services, Inc.
• Brokerage Firm Review: Lincoln Investment Planning
• Brokerage Firm Review: Securian Financial Services, Inc.
• Brokerage Firm Review: Crown Capital Securities, L.P.
• Centaurus Financial Complaints & Regulatory Actions
• Brokerage Firm Review: Principal Securities Inc.
• Brokerage Firm Review: Prospera Financial Services, Inc.
• Geneos Wealth Management, Inc. Complaints & Regulatory Actions
• Brokerage Firm Review: M Holdings Securities, Inc.
• Park Avenue Securities Complaints & Regulatory Actions
• Brokerage Firm Review: CFD Investments, Inc.
• Brokerage Firm Review: Harbour Investments, Inc.
• Brokerage Firm Review: Woodbury Financial Services
• Brokerage Firm Review: Hornor, Townsend & Kent, LLC
• Brokerage Firm Review: Cambridge Investment Research
• Brokerage Firm Review: Arete Wealth Management, LLC
• Brokerage Firm Review: Sigma Financial Corporation
• Brokerage Firm Review: The Investment Center, Inc.
• Brokerage Firm Review: Waddell & Reed
• Brokerage Firm Review: Berthel, Fisher & Company Financial Services, Inc.
• MML Investors Services Complaints & Regulatory Actions
• Brokerage Firm Review: Cadaret, Grant & Co., Inc.
• Arkadios Capital Complaints & Regulatory Actions
• Brokerage Firm Review: Equity Services, Inc.
• Brokerage Firm Review: FSC Securities Corporation
• Brokerage Firm Review: The Strategic Financial Alliance, Inc.
• Brokerage Firm Review: Founders Financial Securities LLC
• Brokerage Firm Review: Nationwide Planning Associates Inc.
• Brokerage Firm Review: Fortune Financial Services, Inc.
• Brokerage Firm Review: Stifel, Nicolaus & Company
• Brokerage Firm Review: CUSO Financial Services
• Brokerage Firm Review: Newbridge Securities
• Brokerage Firm Review: Next Financial Group
• Kovack Securities Complaints & Regulatory Actions
• Brokerage Firm Review: Independent Financial Group, LLC
• Brokerage Firm Review: Morgan Stanley
• Brokerage Firm Review: Wells Fargo Advisors
• Brokerage Firm Review: Spartan Capital Securities
• Brokerage Firm Review: Questar Capital
• Brokerage Firm Review: Calton & Associates
• Brokerage Firm Review: Cetera Advisors LLC
• Brokerage Firm Review: UBS Financial Services
• Brokerage Firm Review: Merrill Lynch
• Brokerage Firm Review: Janney Montgomery Scott
• Brokerage Firm Review: Oppenheimer & Co
• Brokerage Firm Review: Voya Financial
• Brokerage Firm Review: National Securities Corp
• Brokerage Firm Review: Wedbush Securities Inc.
• Brokerage Firm Review: First Allied Securities
• Brokerage Firm Review: Financial West Group
• Brokerage Firm Review: Maxim Group
• Brokerage Firm Review: Cantella & Co.
• Brokerage Firm Review: Western International Securities
• Brokerage Firm Review: Allstate Financial Services, LLC
• Brokerage Firm Review: Ausdal Financial Partners, Inc.
• Brokerage Firm Review: Avantax Investment Services, Inc.
• Brokerage Firm Review: BCG Securities, Inc.
• Brokerage Firm Review: CUNA Brokerage Services, Inc.
• Brokerage Firm Review: D.A. Davidson & Co.
• Brokerage Firm Review: Cutter & Company, Inc.
• Brokerage Firm Review: Edward Jones
• Brokerage Firm Review: First Republic Securities Company, LLC
• Brokerage Firm Review: Foothill Securities, Inc.
• Brokerage Firm Review: Hilltop Securities Inc.
• Brokerage Firm Review: Infinity Financial Services
• Brokerage Firm Review: Investment Centers of America, Inc.
• Brokerage Firm Review: Lifemark Securities Corp.
• Brokerage Firm Review: Parkland Securities, LLC
• Brokerage Firm Review: Fifth Third Securities, Inc.
• Brokerage Firm Review: Lincoln Financial Securities Corporation
• Brokerage Firm Review: Quest Capital Strategies, Inc.
• Brokerage Firm Review: Lincoln Financial Advisors Corporation
• Brokerage Firm Review: Paulson Investment Company LLC
• Brokerage Firm Review: Vanderbilt Securities, LLC
• Brokerage Firm Review: Citigroup Global Markets Inc.
• Brokerage Firm Review: Money Concepts Capital Corp.
• Brokerage Firm Review: Silver Oak Securities, Incorporated
• Brokerage Firm Review: TIAA-CREF Individual & Institutional Services, LLC