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 Stonecrest Capital Markets, 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.
Stonecrest Capital Markets is a FINRA member broker-dealer affiliated with Stonecrest Partners, offering securities brokerage services to its clients. Organized in North Carolina in 1995 and registered with the SEC in 1996, the firm is headquartered in Austin, Texas.
Stonecrest Capital Markets, Inc. – By the Numbers: