Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Wellington Shields & Co., LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
Wellington Shields is a wealth management and investment firm that provides brokerage, investment management, investment counsel, and equity research to individual and multigenerational clients, with clearing and custody through BNY Pershing. Tracing its roots to the Wellington Company founded in 1925 and formed in 2009 through the merger of HG Wellington and Shields and Company, the firm is headquartered at 60 Broad Street in New York and serves clients in all 50 states.
Wellington Shields & Co., LLC – By the Numbers: