Securities Lawyers Blog
The attorneys at Gana Weinstein LLP represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as World Investments, LLC. 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.
World Investments is a broker-dealer that serves retail investors through a network of independent financial professionals, offering transactions in stocks, bonds, mutual funds, ETFs, annuities and alternative investments. Affiliated with the registered investment adviser World Investment Advisors, the firm is part of the World Advisors organization based in Lincroft, New Jersey.
World Investments, LLC – By the Numbers:
- CRD #: 20626
- Regulatory Events: 4
- Arbitration Events: 2
- Broker Employees: 333
World Investments, LLC – Investment Advisors:
- SEC #: 56426
- Assets Under Management: $1,734,780,346
- ADV Form Employee: 217
World Investments, LLC – In the News:
FINRA v. World Investments, LLC (Case #2023077037801) – From at least April 2022 to November 2023, World Investments, LLC failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to comply with Securities Exchange Act of 1934 Rule 15l-1 (Reg BI) and supervise recommendations of exchanges of deferred variable annuities. The firm also failed to surveil for inappropriate rates of deferred variable annuity exchanges. Accordingly, the firm violated Exchange Act Rule 15l-1(a)(1) and FINRA Rules 2330(c) and (d), 3110(a)-(b), and 2010. During the same period, the firm failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to supervise recommendations of purchases and exchanges of registered index-linked annuities.
Our broker misconduct attorneys have successfully pursued FINRA arbitration claims against brokerage firms large and small. If your financial advisor at World Investments, LLC lost your money, contact Gana Weinstein LLP for a free, no obligation consultation.