Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Lincoln Financial Distributors, Inc.. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
Lincoln Financial Distributors is the wholesale distribution broker-dealer of Lincoln Financial, offering annuity, life insurance, and retirement solutions to financial professionals for their clients. Owned by The Lincoln National Life Insurance Company, the firm distributes Lincoln products nationwide through licensed insurance agents, registered broker-dealers, and other financial intermediaries.
Lincoln Financial Distributors, Inc. – By the Numbers:
- CRD #: 145
- Regulatory Events: 3
- Broker Employees: 965
Lincoln Financial Distributors, Inc. – In the News:
FINRA v. Lincoln Financial Distributors, Inc. (Case #2020065474002) – Between March 2018 and September 2019, Lincoln indirectly paid approximately $2.9 million in transaction-based compensation to an unregistered entity in violation of FINRA Rules 2040 and 2010.
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.