Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Superior Financial Services,Inc., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Superior Financial Services is a retail broker-dealer that offers brokerage accounts for buying and selling mutual funds, stocks, bonds, exchange-traded funds, options, certificates of deposit, unit investment trusts, variable annuities, and variable life insurance, along with recommendations, research, and investor education. Incorporated in Wisconsin in 2000, the firm is a member of FINRA and SIPC and clears and custodies client accounts through RBC Capital Markets.
Superior Financial Services,Inc. – By the Numbers:
- CRD #: 104165
- Regulatory Events: 1
- Broker Employees: 16
Superior Financial Services,Inc. – In the News:
FINRA v. Superior Financial Services,Inc. (Case #2021069374701) – Superior failed to conduct annual independent testing of its anti-money laundering (AML) compliance program between 2017 and 2021, in violation of FINRA Rules 3310(c) 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.