Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Wolfe Research Securities. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
Wolfe Research Securities is a securities broker-dealer. The firm was formed in New York in 2009.
Wolfe Research Securities – By the Numbers:
- CRD #: 151850
- Regulatory Events: 1
- Broker Employees: 184
Wolfe Research Securities – In the News:
FINRA v. Wolfe Research Securities (Case #2020067770401) – On 32 occasions between September 2017 and October 2020, Wolfe Research overstated its executed daily trading volume advertised through Bloomberg, L.P., a private subscription-based provider of market data, in violation of FINRA Rules 5210 and 2010. Additionally, during the same time period, Wolfe Research’s supervisory system, including its written supervisory procedures (WSPs), was not reasonably designed to achieve compliance with FINRA Rule 5210, which governs the accuracy of advertised trading volume. By virtue of the foregoing, the firm violated FINRA Rules 3110 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.