Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Landolt Securities, Inc. during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Landolt Securities is a broker-dealer and investment adviser that offers brokerage in stocks, bonds, mutual funds, ETFs, annuities and alternative investments, along with investment management and insurance consulting. Organized in Wisconsin in 1989, the firm is now headquartered in Lake Bluff, Illinois, and operates under several trade names in states including Wisconsin, Minnesota, Texas, Maryland and Utah.
Landolt Securities, Inc. – By the Numbers: