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 Nolan Securities Corp. 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.
Nolan Securities is a small broker-dealer that advises companies on financial matters, including financing, securities offerings and private placements, and it does not carry customer accounts. Formed in Connecticut in 1990 and operating as Kelly Securities Corporation doing business as Nolan Securities, the firm is based in Monterey, Massachusetts.
Nolan Securities Corp. – By the Numbers: