Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Valmark Securities, Inc.. 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.
Valmark Securities is a broker-dealer that provides securities brokerage and investment services to its clients. Formed in Ohio in 1992 and headquartered at 130 Springside Drive in Akron, the firm is privately owned by individual stakeholders.
Valmark Securities, Inc. – By the Numbers:
- CRD #: 31243
- Regulatory Events: 4
- Broker Employees: 430
Valmark Securities, Inc. – In the News:
FINRA v. Valmark Securities, Inc. (Case #2018060836401) – Between June 2, 2016 and January 22, 2019, Valmark did not retain approximately 180,000 emails for 19 email users in 4 branch offices. As a result, the firm violated SEC Exchange Act Rule 17a-4 and FINRA Rules 4511 and 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.