Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Landolt Securities, Inc. during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Landolt Securities is a broker-dealer and investment adviser that offers brokerage in stocks, bonds, mutual funds, ETFs, annuities and alternative investments, along with investment management and insurance consulting. Organized in Wisconsin in 1989, the firm is now headquartered in Lake Bluff, Illinois, and operates under several trade names in states including Wisconsin, Minnesota, Texas, Maryland and Utah.
Landolt Securities, Inc. – By the Numbers:
- CRD #: 28352
- Regulatory Events: 5
- Broker Employees: 30
Landolt Securities, Inc. – Investment Advisors:
- SEC #: 135200
- Assets Under Management: $137,829,035
- ADV Form Employee: 14
Landolt Securities, Inc. – In the News:
FINRA v. Landolt Securities, Inc. (Case #2022075126501) – From at least March 2021 to the present, Landolt Securities has failed to establish, maintain, and enforce a reasonable supervisory system, including written supervisory procedures (WSPs), to supervise the electronic communications of its registered representatives. As a result, the firm violated FINRA Rules 3110 and 2010.
The FINRA actions described above involve Landolt Securities, Inc. itself, and investors whose losses are connected to the conduct FINRA identified may have claims against the firm. Gana Weinstein LLP offers free consultations and we welcome all inquiries.