|Firm (click to read full story)||Main office||Date firm terminated or withdrew Finra registration||Estimated # of reps||Years in business|
|Provident Asset Management LLC||Texas||March 2010||50||2|
|GunnAllen Financial Inc.||Florida||April 2010||400||24|
|Private Asset Group Inc.||California||April 2010||N/A||4|
|AFA Financial Group LLC||California||April 2010||100||7|
|Nationwide Securities LLC||Ohio||April 2010||200||3|
|MICG Investment Management LLC||Virginia||May 2010||40||10|
|Cullum & Burks Securities Inc.||Texas||May 2010||100||12|
|Okoboji Financial Services Inc.||Iowa||May 2010||20||22|
|Jesup & Lamont||New York||June 2010||300||15|
|Chicago Investment Group||Illinois||July 2010||90||8|
|Great American Advisors Inc.||Ohio||July 2010||500||17|
|United Equity Securities LLC||Texas||Aug. 2010||60||16|
|Brewer Financial Services Inc.||Illinois||Oct. 2010||87||6|
|Matheson Securities LLC||Florida||Jan. 2011||N/A||6|
|QA3 Financial Corp.||Nebraska||Feb. 2011||400||30|
|Securities Network LLC||Georgia||March 2011||N/A||7|
|Omni Brokerage Inc.||Utah||April 2011||50||26|
|Harrison Douglas Inc.||Colorado||May 2011||N/A||15|
|WFP Securities Corp.||California||May 2011||N/A||24|
|Meadowbrook Securities LLC (Investlinc Securities LLC)||Mississippi||June 2011||N/A||10|
|CapWest Securities Inc.||Colorado||July 2011||50||20|
|Boogie Investment Group Inc.||Florida||Sept. 2011||N/A||6|
|Workman Securities Corp.||Minnesota||Oct. 2011||100||21|
|Ensemble Financial Services Inc.1||New York||December 2011||85||N/A|
|Pacific West Securities Inc.||Washington||March 2012||290||40|
|Brookstone Securities Inc.||Florida||June 2012||198||7|
|Milkie/Ferguson Investments Inc.||Texas||July 2012||40||26|
|DeWaay Financial Network LLC||Iowa||Nov. 2012 2||N/A||6|
Managing editor Christina Nelson and senior reporter Mark Schoeff Jr. discuss regulations of consequence to financial advisers in 2018, and their likely timing.
Latest news & opinion
Inflation worries, international rates pushing Treasuries yields higher.
A growing number of states are looking to pass rules preventing exploitation of seniors.
The firm said it lost 47 brokers in the fourth quarter, the most in any quarter of 2017.
Improvement reflect firm's shift of more clients into fee-based accounts priced on asset levels, which boosts results as markets rise.
A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'
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