Securities Lawyers Blog

Chapin, Davis FINRA Arbitration Attorney

November 8, 2026 | by Staff Attorney

Retirement savers who have suffered IRA investment losses or other retirement account losses often have claims they are not aware of. Brokerage firms such as Chapin, Davis owe their customers a duty of care, and a breach of fiduciary duty, a breach of contract, or negligent supervision of a financial advisor can make a firm liable for the resulting losses. The investment loss lawyers at Gana Weinstein LLP represent retirees and other investors in FINRA arbitration claims to recover those losses.

Chapin Davis is a broker-dealer and investment adviser that offers brokerage in equities, corporate, municipal and government bonds, mutual funds and annuities, along with financial planning, portfolio management, private placements and merger advisory services for individuals, businesses and institutions. Organized in Maryland in 1990, the firm is headquartered in Baltimore and clears through Wells Fargo Clearing Services.

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Nolan Securities Corp. FINRA Lawyer

November 8, 2026 | by Staff Attorney

A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Nolan Securities Corp. 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.

Nolan Securities is a small broker-dealer that advises companies on financial matters, including financing, securities offerings and private placements, and it does not carry customer accounts. Formed in Connecticut in 1990 and operating as Kelly Securities Corporation doing business as Nolan Securities, the firm is based in Monterey, Massachusetts.

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Lombard Securities Incorporated FINRA Arbitration Attorney

November 8, 2026 | by Staff Attorney

Financial advisor complaints, broker complaints, and FINRA customer disputes are public on BrokerCheck, and a broker’s regulatory history is often the first thing an investor checks after an unexpected loss. The investor attorneys at Gana Weinstein LLP help customers of firms such as Lombard Securities Incorporated understand what a financial advisor’s disciplinary history means and whether their own losses support a claim against the broker or the brokerage firm.

Lombard Securities is a fully disclosed broker-dealer that earns commissions on securities, mutual funds and annuities and provides investment advisory and insurance brokerage services through affiliated subsidiaries. Established in Maryland in 1990, the firm is based in Baltimore and operates the subsidiaries Lombard Agency, Lombard Advisers and Lombard Agency of TX.

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Tastytrade, Inc. Broker Negligence Attorney

November 8, 2026 | by Staff Attorney

If you have lost money in your accounts at Tastytrade, Inc., you may be asking whether you can sue your financial advisor or your brokerage firm. The investment loss attorneys at Gana Weinstein LLP help investors answer that question every day. Brokerage firms are responsible for supervising their brokers, and when a firm fails to supervise, misrepresents an investment, or recommends unsuitable investments, the investor can file a FINRA arbitration claim to recover investment losses.

tastytrade is an online brokerage that offers self-directed trading in stocks, options, futures and related products, with a strong focus on options trading tools and investor education. Founded in Chicago in 2011 as part of the tastylive financial media network, the firm has been a subsidiary of United Kingdom-based IG Group since its 2021 acquisition for about one billion dollars.

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BCP Securities, Inc. Investment Dispute Attorney

November 8, 2026 | by Staff Attorney

How long does FINRA arbitration take? How much does FINRA arbitration cost? What damages can I recover in FINRA arbitration? Investors with losses at firms such as BCP Securities, Inc. ask the securities arbitration lawyers at Gana Weinstein LLP these questions before deciding whether to file a FINRA claim. Our attorneys answer them in a free consultation, explain how long you have to file FINRA arbitration, and tell you candidly whether your case is worth pursuing.

BCP Securities is a fixed income broker-dealer that specializes in emerging market bonds, providing sales and trading, new issue distribution, capital markets and investment banking services with a focus on Latin America and Turkey. Founded in 1989 and headquartered in Greenwich, Connecticut, the firm also maintains offices in Sao Paulo and Istanbul.

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The Enterprise Securities Company Securities Attorney

November 8, 2026 | by Staff Attorney

A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at The Enterprise Securities Company 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.

The Enterprise Securities Company is a small broker-dealer that sells mutual funds, variable life insurance and annuities and also engages in private placements and real estate syndication. Organized in Michigan in 1990, the individually owned firm operates from a single office in Farmington Hills, Michigan.

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Quint Capital Corporation Securities Attorney

November 8, 2026 | by Staff Attorney

When FINRA brings a disciplinary action against a brokerage firm, the findings frequently describe supervisory failures, unsuitable investment recommendations, or sales practice violations that affected many customers at once. The FINRA actions described below involve Quint Capital Corporation. The FINRA arbitration lawyers at Gana Weinstein LLP represent investors in FINRA customer disputes against brokerage firms, and a firm’s regulatory record is often important evidence in those claims. Our attorneys can determine whether your investment losses are connected to the conduct FINRA identified.

Quint Capital Corporation is a broker-dealer and registered investment adviser that handles over-the-counter equity and corporate debt transactions, mutual funds, variable life insurance and annuities, along with placement agent, underwriting and corporate finance and merger consulting services. Formed in Florida in 1989, the firm is based on Park Avenue in New York City and clears customer transactions on a fully disclosed basis.

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Axiom Capital Management, Inc. Securities Arbitration Attorney

November 8, 2026 | by Staff Attorney

The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Axiom Capital Management, Inc., were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.

Axiom Capital Management is an introducing broker-dealer that provides retail brokerage in stocks, bonds, options, Treasuries, municipal and corporate debt, mutual funds and new issues, along with private placement capital raising for private companies and optional advisory services. Organized in Delaware in 1990, the firm is headquartered at 350 Fifth Avenue in New York City and clears its trades through a third-party clearing firm.

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J.W. Korth & Company Investment Attorney

November 8, 2026 | by Staff Attorney

Stockbroker fraud and financial advisor negligence cost investors billions of dollars every year. The stockbroker fraud attorneys at Gana Weinstein LLP represent investors in FINRA arbitration claims involving misrepresentation, omissions, excessive commissions, and overconcentration of investment portfolios, including claims by customers of firms such as J.W. Korth & Company. We can determine whether your investment losses were caused by misconduct and what damages may be recovered.

J.W. Korth & Company is a broker-dealer and investment adviser that specializes in fixed income, offering discretionary and non-discretionary managed bond accounts, a trade desk for financial professionals, and the self-directed bond platform Shop4Bonds. Founded in 1982 and based in Lansing, Michigan, the firm serves high-net-worth individuals, financial advisors and institutional investors seeking income-focused portfolios.

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Hennion & Walsh, Inc. Investment Dispute Attorney

November 8, 2026 | by Staff Attorney

Many investors who have lost money with a broker at Hennion & Walsh, Inc. wonder whether they can recover their investment losses and how long they have to act. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration, the forum where most claims against brokerage firms and stockbrokers are decided. Our attorneys can explain the FINRA arbitration process, the time limits that apply to your claim, and the damages that may be recovered.

Hennion & Walsh is a broker-dealer and investment firm that specializes in municipal bonds for individual investors, along with other fixed income and equity products and wealth management services. Founded in 1990, the firm is headquartered in Parsippany, New Jersey, and serves individual investors across the United States.

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