Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as J.K. Financial Services, Inc., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
J.K. Financial Services is a FINRA member broker-dealer that offers securities brokerage services to individual investors. Incorporated in California in 1999 and registered as a broker-dealer since 2000, the individually owned firm is headquartered in Norco, California.
J.K. Financial Services, Inc. – By the Numbers:
- CRD #: 103728
- Regulatory Events: 3
- Broker Employees: 24
J.K. Financial Services, Inc. – In the News:
FINRA v. J.K. Financial Services, Inc. (Case #2021069372901) – From June 2024 to April 2025, J.K. Financial willfully violated § 17(a)(1) of the Exchange Act and Exchange Act Rule 17a-14 and violated FINRA Rule 2010 by omitting required information on its Form CRS. From August 2020 to at least May 2024, J.K. Financial (i) violated § 17(a) of the Exchange Act, Exchange Act Rule 17a-4, and FINRA Rules 3110, 4511, and 2010 by failing to preserve and reasonably supervise business-related emails; (ii) violated FINRA Rules 3110, 3270.01, and 2010 by failing to reasonably supervise the outside business activities of its registered persons; and (iii) violated § 17(a) of the Exchange Act, Exchange Act Rules 15l-1(a)(1) and 17a-3, and FINRA Rules 3110, 4511, and 2010 by failing to establish policies and procedures, and a supervisory system, reasonably designed to achieve compliance with Regulation Best Interest (Reg BI) and related recordkeeping requirements. For these violations, the firm is censured, fined $65,000, and required to certify that it has remediated the issues.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.