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 CoreCap Investments, LLC understand what a financial advisor’s disciplinary history means and whether their own losses support a claim against the broker or the brokerage firm.
CoreCap Investments is an independent broker-dealer that supports financial professionals with brokerage of equities, fixed income, municipal securities, mutual funds, options, variable annuities and private placements. Headquartered in Southfield, Michigan, the firm converted to a Delaware limited liability company in 2020, is a subsidiary of Core Capital Holdings within the Simplicity Group, and is registered nationwide.
CoreCap Investments, LLC – By the Numbers: