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 Vision Brokerage Services, LLC 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.
Vision Brokerage Services is an introducing broker-dealer that earns commissions on securities transactions and direct investments such as variable annuities, non-traded REITs, and mutual funds, with customer accounts carried and cleared by its affiliate Vision Financial Markets. Organized in New York in 1999, the firm is based in Stamford, Connecticut, and is licensed to conduct securities business in all fifty states and Puerto Rico.
Vision Brokerage Services, LLC – By the Numbers: