Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Alexander Investment Services Co., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Alexander Investment Services is a broker-dealer and investment adviser that provides primarily non-discretionary portfolio management, financial planning, and retirement plan consulting, administration, and education to individuals, high-net-worth clients, retirement plans, trusts, estates, and businesses. Organized in Kentucky in 1965 and headquartered in Louisville, the firm also has an office in Harlan, Kentucky and serves both retail and institutional clients.
Alexander Investment Services Co. – By the Numbers:
- CRD #: 1037
- Regulatory Events: 2
- Broker Employees: 12
Alexander Investment Services Co. – Investment Advisors:
- SEC #: 10334
- Assets Under Management: $576,801,336
- ADV Form Employee: 21
Alexander Investment Services Co. – In the News:
FINRA v. Alexander Investment Services Co. (Case #2024080211301) – From June 30, 2020, until the present, Alexander Investment Services has failed to establish and maintain written policies and procedures, and a supervisory system, reasonably designed to achieve compliance with Securities Exchange Act of 1934 Rule 15l-1 (Regulation Best Interest or Reg BI), in violation of Exchange Act Rule 15l-1(a)(1) and FINRA Rules 3110 and 2010. For these violations, the firm is censured, fined $25,000, and agrees to an undertaking to certify that it has remediated the issues identified in this AWC and implemented a supervisory system and written policies and procedures that are reasonably designed to achieve compliance with Reg BI.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.