Securities Lawyers Blog
The investment fraud lawyers at Gana Weinstein LLP represent investors nationwide in FINRA arbitration claims against brokerage firms such as Ofg Financial Services, Inc. Retirement account losses, structured product losses, private placement losses, and losses in non-traded REITs and other alternative investments are frequently the result of unsuitable recommendations rather than ordinary market risk. Our attorneys can analyze your investments, determine whether your broker or financial advisor acted improperly, and pursue recovery of your losses.
OFG Financial Services is a broker-dealer and investment adviser providing brokerage in over-the-counter equities, mutual funds and municipal securities along with investment advisory services, with clearing through RBC Capital Markets. Incorporated in Kansas in 1968 and headquartered in Topeka, the independently owned firm is registered in 25 states and territories.
Ofg Financial Services, Inc. – By the Numbers:
- CRD #: 23940
- Regulatory Events: 2
- Broker Employees: 55
Ofg Financial Services, Inc. – Investment Advisors:
- SEC #: 127727
- Assets Under Management: $271,000,000
- ADV Form Employee: 30
Ofg Financial Services, Inc. – In the News:
FINRA v. Ofg Financial Services, Inc. (Case #2020068668804) – The firm failed to establish, maintain, and enforce a reasonable supervisory system, including written supervisory procedures (WSPs), to review electronic communications that its registered representatives sent and received. As a result, the firm violated FINRA Rules 3110 and 2010.
Gana Weinstein LLP represents investors nationwide, including customers of Ofg Financial Services, Inc., in FINRA arbitration claims to recover investment losses caused by unsuitable investments, failure to supervise, and other broker misconduct. Our consultations are free and there is no obligation.