Securities Lawyers Blog
Investors researching International Research Securities, Inc. often want to know about the firm’s regulatory history before deciding whether to speak with a lawyer. This page summarizes the FINRA disciplinary actions in which International Research Securities, Inc. was named. The securities fraud attorneys at Gana Weinstein LLP represent investors in claims against brokerage firms and financial advisors for investment fraud, unsuitable investment recommendations, excessive trading, and failure to supervise, and we can review the firm’s record together with your account statements to determine whether you have a claim.
International Research Securities is a broker-dealer that acts as a mutual fund retailer and municipal securities broker and sells variable life insurance and annuities. Incorporated in Texas in 1982 and headquartered in Dallas, the firm is licensed in 26 states and territories and operates under common control with the investment adviser Holland Premier Legacy Financial.
International Research Securities, Inc. – By the Numbers:
- CRD #: 19532
- Regulatory Events: 1
- Broker Employees: 6
International Research Securities, Inc. – In the News:
FINRA v. International Research Securities, Inc. (Case #2022075288901) – Between April 22, 2022, and September 30, 2022, International Research Securities conducted a securities business while failing to maintain the required minimum net capital. As a result, the firm violated §15(c) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-1, and FINRA Rules 4110 and 2010. Between April and August 2022, the firm also failed to maintain books and records reflecting an accurate computation of its aggregate indebtedness, required minimum net capital, and excess net capital, and it filed with FINRA an inaccurate Financial and Operational Combined Uniform Single (FOCUS) report. In addition, the firm filed late and inaccurate net capital-related notices with the SEC and FINRA between April and December 2022. As a result, International Research Securities violated Exchange Act § 17(a), Exchange Act Rules 17a-3, 17a-5, and 17a-11, and FINRA Rules 4511 and 2010.
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 International Research Securities, Inc. accounts. Our consultations are free and we welcome all inquiries.