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 Synovus Securities, 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.
Synovus Securities is a broker-dealer and registered investment adviser that provides brokerage, financial planning, portfolio management for individual and institutional clients, insurance brokerage, and municipal advisory services. Headquartered in Columbus, Georgia, the firm is the securities affiliate of Synovus Financial and serves high-net-worth individuals, businesses, and institutions through bank branches across the southeastern United States.
Synovus Securities, Inc. – By the Numbers:
- CRD #: 14023
- Regulatory Events: 10
- Arbitration Events: 2
- Broker Employees: 226
Synovus Securities, Inc. – Investment Advisors:
- SEC #: 19690
- Assets Under Management: $8,445,083,014
- ADV Form Employee: 280
Synovus Securities, Inc. – In the News:
FINRA v. Synovus Securities, Inc. (Case #2023080354703) – From January 2022 to September 2025, Synovus failed to establish, maintain, and enforce a reasonably designed supervisory system, including written supervisory procedures (WSPs), concerning forgery and falsification of electronic signatures. As a result, the firm failed to detect that associated persons at one branch collectively forged or falsified more than 100 customers’ signatures on more than 150 documents, and that firm personnel forged or falsified registered representatives’ signatures on more than 500 documents. These forgeries and falsifications resulted in the firm maintaining hundreds of inaccurate books and records. Therefore, Synovus violated FINRA Rules 3110, 4511, and 2010, Section 17(a) of the Securities Exchange Act of 1934, and Exchange Act Rule 17a-3. For these violations, the firm is censured and fined $315,000.
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.