Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Conners & Co., Inc. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
Conners and Company is a securities broker-dealer. The firm was formed in Ohio in 1959.
Conners & Co., Inc. – By the Numbers:
- CRD #: 1511
- Regulatory Events: 8
- Arbitration Events: 1
- Broker Employees: 3
Conners & Co., Inc. – In the News:
FINRA v. Conners & Co., Inc. (Case #2022076083601) – From April 2022 through December 2023, Conners & Co. charged customers an unfair price in 23 municipal securities transactions, in violation of MSRB Rules G-30 and G-17. In addition, during that period, the firm failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with its fair pricing obligations, in violation of MSRB Rule G-27. For these violations, the firm is censured, fined $20,000, ordered to pay restitution of $21,111.29, plus interest, and has agreed to an undertaking to certify in writing that the firm has remediated the issues identified in this AWC.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.