Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Cuna Brokerage Services, 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.
CUNA Brokerage Services is a broker-dealer affiliated with CUNA Mutual Group that provided investment and insurance products, including mutual funds, annuities, and managed accounts, to credit unions for offer to their members. Formed in Wisconsin in 1983 and owned by the policyowners of Madison-based CUNA Mutual Group, the firm served more than 250 credit union programs as of 2014 and joined the LPL Financial platform in 2021.
Cuna Brokerage Services, Inc. – By the Numbers:
- CRD #: 13941
- Regulatory Events: 5
- Arbitration Events: 6
- Broker Employees: 160
Cuna Brokerage Services, Inc. – In the News:
FINRA v. Cuna Brokerage Services, Inc. (Case #2023080042101) – In January 2023, CUNA Brokerage Services failed to preserve approximately 14,000 records containing information the firm collected from retail customers when making recommendations to these customers regarding rollovers of their employer-sponsored retirement plans into individual retirement accounts. As a result, CUNA Brokerage Services violated Section 17(a) of the Exchange Act, Exchange Act Rule 17a-4(e)(5), and FINRA Rules 4511 and 2010.
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.