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 Mutual Securities, 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.
Mutual Securities is a broker-dealer and investment adviser that sells securities and insurance products, provides advisory and consulting services, and sponsors and manages the Asset Advantage Service Program wrap fee program, with an affiliated insurance agency. Incorporated in California in 1982 and headquartered in Camarillo, the firm has operated a network of offices concentrated in California with additional locations in Arizona, Colorado, and Oregon.
Mutual Securities, Inc. – By the Numbers:
- CRD #: 13092
- Regulatory Events: 2
- Arbitration Events: 8
- Broker Employees: 194
Mutual Securities, Inc. – In the News:
FINRA v. Mutual Securities, Inc. (Case #2022073966101) – From 2017 to 2022, Mutual included impermissible confidentiality language in three settlement agreements with customers in violation of FINRA Rule 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.