Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Steward Partners Investment Solutions, LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Steward Partners Investment Solutions is the broker-dealer and investment advisory affiliate of Steward Partners, providing brokerage, portfolio management, and wealth management services to individual clients. Formerly Umpqua Investments, the Portland, Oregon based firm was acquired in 2020 by Steward Partners, an employee-owned wealth management firm founded in 2013 and headquartered in Stamford, Connecticut with about 80 offices.
Steward Partners Investment Solutions, LLC – By the Numbers:
- CRD #: 1254
- Regulatory Events: 13
- Arbitration Events: 1
- Broker Employees: 507
Steward Partners Investment Solutions, LLC – In the News:
FINRA v. Steward Partners Investment Solutions, LLC (Case #2020066397201) – From December 2019 to April 2020, $332,457.73 was transferred out of a senior trust customer’s brokerage account at Respondent through 278 externally initiated ACH transfers without the customer’s knowledge or permission. The transfers were initiated by third parties who had illegally obtained information relating to a checking feature attached to the customer’s account, originated from over 30 different external accounts, and were nearly all used to pay credit card bills of third parties unrelated to the customer. Respondent failed to reasonably supervise these ACH transfers of customer funds, in violation of FINRA Rules 3110(a) and 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.