Securities Lawyers Blog
The law offices of Gana Weinstein LLP represent investors in disputes with their financial advisors or brokerage firms, such as Great American Investors, Inc. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Great American Investors is a full-service retail broker-dealer offering stocks, corporate and municipal bonds, mutual funds, ETFs, options and variable annuities through individual, retirement, custodial and 529 accounts. Organized in Kansas in 1991, the firm is headquartered in Overland Park and has cleared through Hilltop Securities since 1992.
Great American Investors, Inc. – By the Numbers:
- CRD #: 28489
- Regulatory Events: 4
- Broker Employees: 9
Great American Investors, Inc. – In the News:
FINRA v. Great American Investors, Inc. (Case #2020065149201) – GAI failed to conduct annual (on a calendar-year basis) independent testing of the firm’s anti-money laundering (AML) compliance program three times over a five-year time period, in violation of FINRA Rules 3310(c) and 2010.
If you are looking to recover stock market losses or recover losses from a financial advisor at Great American Investors, Inc., Gana Weinstein LLP represents investors in FINRA arbitration and litigation against brokerage firms nationwide. Our consultations are free.