Securities Lawyers Blog
Many investors who have lost money with a broker at Riedl First Securities Company of Kansas 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.
Riedl First Securities Company of Kansas is a broker-dealer that offers investment, retirement, custodial and margin brokerage accounts for trading stocks, bonds, mutual funds and ETFs, along with investment recommendations and research for retail and institutional investors. Organized in Kansas in 1992, the individually owned firm is headquartered in Wichita.
Riedl First Securities Company of Kansas – By the Numbers:
- CRD #: 30812
- Regulatory Events: 4
- Broker Employees: 2
Riedl First Securities Company of Kansas – In the News:
FINRA v. Riedl First Securities Company of Kansas (Case #2019063302101) – From January 2018 to December 2020, Riedl charged 10 customers unfair prices in 160 corporate bond transactions in violation of FINRA Rules 2121 and 2010. From January 2018 to at least December 2020, Riedl failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with fair pricing requirements set forth in FINRA Rule 2121 and MSRB Rule G-30 in violation of FINRA Rules 3110 and 2010 and MSRB Rule G-27.
FINRA disciplinary actions against a brokerage firm rarely tell the whole story of how customers were affected. If you were a customer of Riedl First Securities Company of Kansas during the periods described above, the FINRA attorneys at Gana Weinstein LLP can determine whether you have a claim. Our consultations are free.