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 The Enterprise Securities Company 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.
The Enterprise Securities Company is a small broker-dealer that sells mutual funds, variable life insurance and annuities and also engages in private placements and real estate syndication. Organized in Michigan in 1990, the individually owned firm operates from a single office in Farmington Hills, Michigan.
The Enterprise Securities Company – By the Numbers: