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 Oakwood Capital Securities, 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.
Oakwood Capital Securities is a broker-dealer providing transaction-based brokerage services in securities along with insurance and annuity products for individual investors. Registered with the SEC since 1987, the firm is headquartered in Minneapolis, Minnesota.
Oakwood Capital Securities, Inc. – By the Numbers: