Securities Lawyers Blog
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 ACE Diversified Capital, Inc. understand what a financial advisor’s disciplinary history means and whether their own losses support a claim against the broker or the brokerage firm.
ACE Diversified Capital is a retail broker-dealer offering full-service and self-directed brokerage in stocks, ETFs, mutual funds, options, variable insurance products and retirement accounts, along with margin lending. Organized in California in 1996, the firm is headquartered in San Gabriel, California.
ACE Diversified Capital, Inc. – By the Numbers: