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 KCD Financial, 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.
KCD Financial is an independent broker-dealer and investment adviser that provides financial planning, portfolio management, selection of third-party managers, and brokerage of stocks, mutual funds, real estate investments, and insurance products for individuals and high-net-worth clients. Incorporated in Wisconsin in 2003, the firm is headquartered in Green Bay, Wisconsin and has historically shared common ownership and management with Freedom Securities.
KCD Financial, Inc. – By the Numbers:
- CRD #: 127473
- Regulatory Events: 4
- Broker Employees: 48
KCD Financial, Inc. – Investment Advisors:
- SEC #: 110069
- Assets Under Management: $202,092,404
- ADV Form Employee: 29
KCD Financial, Inc. – In the News:
FINRA v. KCD Financial, Inc. (Case #2017052418701) – Between July 15, 2011 and April 3, 2017, KCD Financial failed to timely inspect six of its registered branch offices and two of its non-registered branch office locations, in violation of FINRA Rules 3110(c)(1)(B), 3110(c)(1)(C) and 2010.
FINRA v. KCD Financial, Inc. (Case #2011025851501) – Registered securities association found that member firm engaged in the unregistered offer and sale of securities when no exemption was in effect. Association also found that firm failed to supervise its representatives’ sales of those securities. Held, association’s findings of violation and sanction imposed are sustained.
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.