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Broker Dealer Reviews

Broker Dealer Reviews, featured by the top securities fraud attorneys at The White Law Group.

FINRA-Registered Broker Dealer Reviews

The Financial Industry Regulatory Authority (FINRA) is the self-regulator who oversees financial advisors and broker dealers. Below you will find detailed information on FINRA-registered broker dealer reviews.

FINRA operates the largest securities dispute resolution forum in the United States, called FINRA Dispute Resolution. Brokerage firms registered with FINRA agree to participate in this process to resolve disputes between investors and firms or their registered representatives. Most brokerage firms also have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA.

The self-regulator also provides a simple tool to check your broker or brokerage firm.  The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.     

FINRA BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.     

The White Law Group represents investors in FINRA claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases across the country and recovered over $30,000,000 on behalf of investors.

The following links provide detailed information about FINRA-registered broker dealers including an overview of regulatory actions, customer complaints and broker misconduct.  

Aegis Capital Corp.

American Portfolios Financial Services

Ameriprise Financial

Arete Wealth Management, LLC 

Ausdal Financial Partners Inc.

B. Riley Wealth

Berthel, Fisher and Company

CFD Investments Inc.

Cadaret, Grant & Company

Calton & Associates

Cambridge Investment Research, LLC 

Cantella & Co. 

Centaurus Financial Inc.  

Center Street Securities, Inc.  

Cetera Advisors, LLC  and Cetera Advisor Networks, LLC

Concourse Financial Group (Proequities Inc.) 

Commonwealth Financial Network, Inc.

Crown Capital Securities

Edward Jones 

Equitable Advisors, Inc. (AXA Advisors)

FSC Securities Corp.

First Allied Securities, Inc. 

Fortune Financial

G.A. Repple & Company

Geneos Wealth Management, Inc.   

Grove Point Investments, LLC (H. Beck)

Hightower Securities LLC

Hilltop Securities Inc.

Hornor, Townsend & Kent LLC  

Independent Financial Group LLC 

Infinex Investments

Janney Montgomery Scott, LLC

J.P. Morgan Securities LLC

 J.P. Turner   

JW Cole Financial Inc.

Joseph Gunnar & Company LLC

Joseph Stone Capital

Kestra Investment Services, LLC 

Kovack Securities Inc.

LaSalle St. Securities

Lincoln Financial Advisors Corporation  

LPL Financial, LLC  

Madison Avenue Securities, LLC  

Merrill Lynch, Pierce, Fenner & Smith Incorporated 

MML Investors Services, LLC  

Moors & Cabot Inc. 

Morgan Stanley & Co.  

National Securities Corporation

Newbridge Securities

Next Financial Group

Northwestern Mutual Investment Services

O.N. Equity Sales Company

Osaic Wealth

Ladenburg Thalmann and Co.

Oppenheimer

Park Avenue Securities LLC

Parkland Securities

Prospera Financial Services Inc.

Pruco Securities

Raymond James & Associates, Inc. 

Royal Alliance Associates, Inc. 

SA Stone Wealth Management, LLC (Sterne Agee Financial)

SagePoint Financial Inc.

Securian Financial Services, LLC

Securities America, Inc.

Stifel Nicolaus & Co.

Summit Brokerage Services

The Investment Center Inc. 

Triad Advisors LLC 

Vanderbilt Securities, LLC

Voya Financial Advisors

Webull Financial

Wedbush Securities

Wells Fargo 

Westpark Capital, Inc.

Western International Securities, Inc. 

Woodbury Financial Services, Inc.   

 

Last modified: April 2, 2024

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