Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Lenox Financial Services, Inc. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Lenox Financial Services is a broker-dealer that sells equities, corporate and government bonds, municipal securities, mutual funds, and variable life insurance and annuities to retail clients. Incorporated in Illinois in 1994, the firm is based in New Lenox, Illinois, and operates alongside its affiliated investment adviser, Lenox Capital Management.
Lenox Financial Services, Inc. – By the Numbers:
- CRD #: 36379
- Regulatory Events: 2
- Broker Employees: 2
Lenox Financial Services, Inc. – In the News:
FINRA v. Lenox Financial Services, Inc. (Case #2016047929401) – Between September 28, 2012 and November 23, 2015, Lenox failed to make required financial interest and beneficial ownership disclosures in research reports, in violation of NASD Rule 2711(h)(1)(A) and 2711(h)(1)(B), and failed to prevent trading in research analyst accounts, in violation of NASD Rule 2711(g)(2). Lenox also failed to establish a supervisory system reasonably designed to achieve compliance with these requirements, in violation of NASD Rule 3010(a) (for conduct before December 1, 2014) and FINRA Rule 3110(a) (for conduct on and after December 1, 2014).
If you have suffered investment losses at Lenox Financial Services, Inc., the FINRA arbitration attorneys at Gana Weinstein LLP can review your accounts and tell you whether you have a claim. Our consultations are free and we welcome all inquiries.