Securities Lawyers Blog

B. Riley Wealth Management Financial Advisor Misconduct Attorney

November 8, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP represent investors in disputes with their financial advisors or brokerage firms, such as B. Riley Wealth Management. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

B. Riley Wealth Management is a full-service broker-dealer offering brokerage, wealth management, investment banking support, municipal and government securities dealing, mutual funds, options, annuities and insurance products to individual and institutional clients. Headquartered in Memphis, Tennessee, the firm grew out of B. Riley Financial’s acquisitions of Wunderlich Securities in 2017 and National Holdings in 2021, and it sold part of its wealth management business to Stifel in 2025 and kept its independent advisor channel.

B. Riley Wealth Management – By the Numbers:

CFD Investments, Inc. Financial Advisor Negligence Attorney

November 7, 2026 | by Staff Attorney

Investors researching CFD Investments, Inc. often want to know about the firm’s regulatory history before deciding whether to speak with a lawyer. This page summarizes the FINRA disciplinary actions in which CFD Investments, Inc. was named. The securities fraud attorneys at Gana Weinstein LLP represent investors in claims against brokerage firms and financial advisors for investment fraud, unsuitable investment recommendations, excessive trading, and failure to supervise, and we can review the firm’s record together with your account statements to determine whether you have a claim.

CFD Investments is a broker-dealer offering equities, mutual funds, government securities, variable life insurance and annuities, and tax-advantaged investments, with clearing through National Financial Services. Incorporated in Indiana in 1986 and headquartered in Kokomo, the family-owned firm operates under common control with the registered investment adviser Creative Financial Designs.

CFD Investments, Inc. – By the Numbers:

Hovde Group, LLC Investment Attorney

November 7, 2026 | by Staff Attorney

The investment fraud lawyers at Gana Weinstein LLP represent investors nationwide in FINRA arbitration claims against brokerage firms such as Hovde Group, LLC. 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.

Hovde Group is a boutique investment bank and broker-dealer focused exclusively on the financial services sector, offering M&A advisory, capital markets, equity research, and equity sales and trading, including market making in community and regional bank stocks. With more than 30 years of history and its main office in Inverness, Illinois, the firm has additional offices in Atlanta, Charlotte, McLean, Nashville and Toledo and serves banks and investors throughout the United States.

Hovde Group, LLC – By the Numbers:

MM Global Securities, Inc. Securities Fraud Lawyer

November 7, 2026 | by Staff Attorney

Gana Weinstein LLP is a securities law firm that represents investors in investment disputes with brokerage firms and financial advisors, including customers of MM Global Securities, Inc. Our practice covers the full range of investor claims, from unsuitable investments, margin losses, and options trading losses to breach of fiduciary duty and failure to supervise. If your financial advisor lost your money, our FINRA lawyers can determine whether the losses were the result of misconduct and whether a claim against the brokerage firm is available.

MM Global Securities is a broker-dealer offering equity and debt brokerage, underwriting, private placements, options, mutual funds and variable insurance products. Incorporated in Illinois in 1997 and based in New York City, the firm has been owned since 2016 by MMBD Trading, a subsidiary of the financial technology company MMTEC.

MM Global Securities, Inc. – By the Numbers:

R. F. Lafferty & Co., Inc. Investor Attorney

November 7, 2026 | by Staff Attorney

The investment fraud lawyers at Gana Weinstein LLP represent investors nationwide in FINRA arbitration claims against brokerage firms such as R. F. Lafferty & Co., 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.

R F Lafferty and Company is a full-service broker-dealer and investment adviser engaged in retail brokerage, market making, corporate underwriting, private placements, proprietary trading, government and municipal securities, and insurance products. Founded in New York in 1976 and headquartered on Wall Street in Manhattan, the firm is registered in all 50 states and operates through branch offices doing business under names such as Clearthink Securities and DPR Wealth Management.

R. F. Lafferty & Co., Inc. – By the Numbers:

Oppenheimer & Co. Inc. FINRA Lawyer

November 7, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Oppenheimer & Co. 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.

Oppenheimer and Company is a full-service broker-dealer and investment bank providing wealth management, asset management, investment banking, equity and fixed income capital markets, public finance, and trust and institutional services. Tracing its roots back more than 140 years and headquartered in New York City, the firm is the principal operating subsidiary of the publicly traded Oppenheimer Holdings and operates branch offices across the United States along with affiliates in Europe, Israel and Asia.

Oppenheimer & Co. Inc. – By the Numbers:

Joseph Gunnar & Co. LLC Investment Fraud Attorney

November 7, 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 Joseph Gunnar & Co. LLC understand what a financial advisor’s disciplinary history means and whether their own losses support a claim against the broker or the brokerage firm.

Joseph Gunnar and Company is a full-service broker-dealer offering retail and institutional brokerage, market making, underwriting, municipal securities, options and investment advisory services. Formed in Delaware in 1997 and headquartered at RXR Plaza in Uniondale, New York, the firm is owned by Joseph Gunnar Holding Company and is a member of the New York Stock Exchange, NYSE American and Nasdaq.

Joseph Gunnar & Co. LLC – By the Numbers:

Independence Capital Co., Inc. Investment Fraud Lawyer

November 7, 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 Independence Capital Co., 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.

Independence Capital Company is a broker-dealer and investment adviser offering equities, corporate debt, mutual funds, government and municipal securities, variable life insurance and annuities, private placements and real estate syndications, with clearing through Hilltop Securities. Formed in Ohio in 1989 and headquartered in Parma, Ohio, the independently owned firm is registered in 38 states and territories.

Independence Capital Co., Inc. – By the Numbers:

First Dallas Securities Incorporated Investment Dispute Attorney

November 7, 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 First Dallas Securities Incorporated. We can determine whether your investment losses were caused by misconduct and what damages may be recovered.

First Dallas Securities is a broker-dealer and investment adviser offering retail brokerage in equities, corporate debt, government and municipal securities and options, along with mutual fund underwriting and proprietary trading. Formed in Texas in 1988 and headquartered in Dallas, the firm is a subsidiary of Hodges Capital Holdings and operates under common control with the investment manager Hodges Capital Management.

First Dallas Securities Incorporated – By the Numbers:

OFG Financial Services, Inc. Securities Arbitration Lawyer

November 7, 2026 | by Staff Attorney

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: