Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as U.S. Bancorp Advisors, LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
U.S. Bancorp Advisors, LLC is a U.S. Bancorp broker-dealer and investment adviser that offers team-based advisory portfolios, self-directed brokerage, financial planning, and a digital investing platform integrated with U.S. Bank banking services. Based in Saint Paul, Minnesota and formed in 2004, the firm serves investors through U.S. Bank, with its team-based advisory service available to clients investing at least $25,000.
U.S. Bancorp Advisors, LLC – By the Numbers:
- CRD #: 14455
- Regulatory Events: 4
- Arbitration Events: 1
- Broker Employees: 1,980
U.S. Bancorp Advisors, LLC – Investment Advisors:
- SEC #: 70084
- Assets Under Management: $1,796,069,079
- ADV Form Employee: 379
U.S. Bancorp Advisors, LLC – In the News:
FINRA v. U.S. Bancorp Advisors, LLC (Case #2019062972401) – From at least January 2016 through December 2018, UBIS failed to establish and maintain a reasonably designed supervisory system and written supervisory procedures to achieve compliance with applicable securities laws and regulations with respect to certain types of variable annuity transactions. Additionally, from at least January 2016 through September 2019, UBIS failed to establish and maintain a reasonably designed system and written supervisory procedures for the surveillance of rates of variable annuity exchanges. As a result, the firm violated FINRA Rules 3110(a) and (b), 2330(c), (d), and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.