Securities Lawyers Blog
Elder financial abuse, unauthorized trading, churning, and broker theft are among the most serious forms of broker misconduct, and they can occur at brokerage firms of every size. The investor attorneys at Gana Weinstein LLP represent individuals and families who have suffered investment losses because of a dishonest or negligent financial advisor, including customers of firms such as Fimco Securities Group, Inc. We review account activity, identify misconduct, and bring FINRA arbitration claims to recover what was lost.
Fimco Securities Group is a small broker-dealer that provides securities brokerage services to individual investors. Organized in Wisconsin in 1992, the individually owned firm is based in Port Washington, Wisconsin, in the Milwaukee area.
Fimco Securities Group, Inc. – By the Numbers:
- CRD #: 30343
- Regulatory Events: 1
- Broker Employees: 2
Fimco Securities Group, Inc. – In the News:
FINRA v. Fimco Securities Group, Inc. (Case #2017056627402) – From 2010 through 2018 (the “Relevant Period”), FIMCO failed to test the Firm’s supervisory controls, policies and procedures and to document the results in an annual report, in violation of NASD Rule 3012 (for conduct prior to December 1, 2014), FINRA Rule 3120 (for conduct on or after December 1, 2014) and FINRA Rule 2010. FIMCO also failed to prepare eight annual certifications of its compliance and supervisory processes, in violation of FINRA Rules 3130 and 2010.
You do not have to accept investment losses caused by broker negligence or fraud. Gana Weinstein LLP represents investors, including customers of Fimco Securities Group, Inc., in FINRA arbitration and in state and federal court, our consultations are free, and we welcome all inquiries.