Brokerage Firms

Mr. Evans has consulted with and represented hundreds of clients about claims involving one or more of the various forms of stock broker misconduct, in connection with investment losses. If you have suffered significant losses, reach out to our securities fraud attorney in Los Angeles. Contact us online or call (818) 760-9880 to schedule a case evaluation.

Our cases have spanned spanned the spectrum of brokerage firms and banks and have included matters against the following brokerage firms and banks:

• A&F Financial Services, Inc.
• A.G. Edwards & Sons, Inc.
• Advantage Capital Corp.
• Advest, Inc.
• AEGIS Securities
• AFA Securities
• AIG Financial Advisors, Inc.
• Aletheia Research & Management Inc.
• Aletheia Securities
• Allianz
• American Equity
• American Financial
• American General Sec. Inc.
• American Income Securities, Inc.
• American National Municipal Corp. Inc.
• American National Securities, Inc. (also known as Amerinational Financial Services)
• Ameriprise
• Ameritrade, Inc. (now known as TD Ameritrade)
• Amex Securities
• AMICO
• Ash & Co., Inc.
• Associated Securities, Corp.
• AT&T/Baby Bells
• Axis Advisors, Inc. (formerly known as Clarity Financial Group)
• Banc of America Investments
• Banta Asset Management
• Basis Financial
• Bear Stearns Companies, Inc.
• Bear Stearns Securities Corp.
• Bentley Asset Management
• Berry-Shino Securities, Inc.
• Biltmore Securities, Inc.
• BMA Securities
• Brecek & Young Advisors, Inc.
• Brokers Investment Corp.
• Brookfield Securities
• Brookstreet Securities
• Brookville Capital Partners
• Buxton & Stratton Oakmont
• Cadaret Grant
• Cal Fed Investments
• California Financial Network, Inc.
• Capital Advisors
• Cardinal Capital Management, Inc.
• Cardinal Capital.net
• Cartwright & Walker
• Centaurus Financial
• Charles Schwab & Co.
• Chase Investment Services
• Chase/Hambrecht & Quest
• Chatfield Dean
• CIBC Oppenheimer & Co. Inc.
• CIBC World Markets Corp.
• Citicorp
• Citicorp Investment Services
• Citigroup Global Markets Inc.
• Citigroup, Inc.
• Clearing Services of America Co.
• Columbus Financial, Inc.
• Continental Broker-Dealer Corp.
• Correspondent Services Corp.
• Coutts Securities
• Crowell Weedon & Co.
• Crown Capital Securities, L.P.
• Cruttenden & Roth
• D.A. Davidson Securities
• D.E. Grey/Sanders, Morris, Harris, Inc.
• Dain Raucher
• Dalton Kent Securities
• Dean Witter Reynolds (now known as Morgan Stanley, DW, Inc.)
• DeCamillo Capital Management
• Del Mar Financial
• Deutsche Banc BT Alex Brown, Inc.
• Direct Capital Securities, Inc.
• Duke & Co.
• Edward Jones & Co.
• E-Trade Securities Ltd.
• Everen Clearing Corp.
• Everen Securities, Inc. (now known as Wachovia Securities)
• Evolve Securities, Inc.
• Fidelity Asset Management, Inc.
• Fidelity Brokerage Services, LLC (also known as Fidelity Investments)
• Fidelity Investments
• Financial Network
• Financial West Investment Group
• First Foundation Advisors (formerly known as Keller, Coad & Collins, Investment Counsel, Inc.)
• First Midwest Securities, Inc.
• First Southwest Company
• First Union Securities
• First Wall Street Corp.
• Fisher Asset Management, Ltd formerly
• Fisher Investments
• Foothill Securities, Inc.
• Fortress Securities
• FSC Securities
• G.A. Schumacher and Associates, Inc.
• GBS Financial
• GHSHC, LLC
• Girard Securities, Inc.
• GKN Securities Corp.
• GLB Trading
• Global Hunter Securities, Inc.
• Global Strategies Group
• Golden Lender Financial Group, Inc.
• Grace Advisors
• Granite Associates, Inc.
• Great American
• Great Eastern Securities
• Griffin Capital Securities, Inc.
• Gruntal Securities
• Gruntal & Co., LLC.
• GunnAllen Financial, Inc.
• H.D. Vest Investment Securities
• H.D. Vest Services
• H.J. Meyers
• Hambrecht & Quest
• Heidtke & Company Inc.
• Hunter Scott Financial LLC
• Income Network Company
• Independent Financial Group, LLC
• ING Financial Advisers LLC
• ING Securities
• Intersecurities, Inc.
• Investment Management & Research Inc.
• Investors Capital Corp.
• J.B. Oxford & Co.
• J.P. Gibbons & Co., Inc.
• J.P. Morgan & Co.
• J.P. Morgan Chase Bank
• J.P. Turner & Co.
• Joseph Roberts & Co., Inc.
• Joseph Stevens Co., Inc.
• Kadem Capital
• Kemper Securities
• Kennedy, Cabot & Co.
• Klein, Maus & Shire, Inc.
• KM Advistory Services
• KM Investment Services, Inc.
• L.T. Lawrence & Co., Inc.
• Lake Gold Inc.
• Landmark Investment Group, Inc.
• Lazar Securities
• Lazar, Frederick & Co.
• Leumi Investment Services, Inc.
• Lew Lieberbaum & Co.
• Life Wealth Management, Inc.
• Linsco/Private Ledger Corp.
• Long Securities Corp.
• LPL Financial
• M.L. Stern & Co.
• Madison Avenue Securities, Inc.
• Magis Capital Management
• Magnus Opus Financial, Inc.
• Manulife Financial Securities (also known as The Manufacturers Life Insurance Company of North America)
• Marquis Financial Services, Inc.
• McIsaac Financial & Insurance Services
• Mercantile Brokerage Services
• Mercer Capital, Ltd.
• Meredith
• Merlin Securities, LLC
• Meridian Capital Group, Inc.
• Merrill Lynch, Pierce, Fenner & Smith, Inc.
• Midpoint Financial Services
• Miller & Schroder Financial
• MML Investors
• Monarch Fund
• Monroe Parker Securities, Inc.
• Moors & Cabot, Inc.
• Morgan Keegan & Company, Inc.
• Morgan Peabody Inc.
• Morgan Stanley Dean Witter
• Morgan Stanley Smith Barney
• Mosbey Financial & Insurance Services
• Multi-Financial Securities Corporation
• Muriel Siebert & Co., Inc.
• Naples Securities, Inc.
• National Financial Services, Corp.
• National Planning Corp.
• National Securities Corporation
• New Castle Financial Services
• New England Securities
• Newpoint Securities & Company
• Newport Coast Securities
• NYLife Securities, LLC
• Olde Discount Corp.
• Old Naples Securities
• Omega Financial Group
• Oppenheimer & Co.
• Oppenheimerfunds Distributor, Inc.
• Oppenheimerfunds, Inc.
• Pacific American Securities
• Pacific Coast Financial Securities, Inc.
• Pacific Continental
• Pacific Life, Inc.
• PaineWebber, Inc. (now known as UBS/PaineWebber)
• Paulson Invest. Company
• Penson Financial Services, Inc.
• Phillips & Co.
• Piper Jaffray & Co., Ic.
• Progressive Plan Administrators, Inc.
• Provident Mutual
• Prudential Bache Securities
• Prudential Financial
• QA3 Financial Corp.
• Quest Capital
• R.W. Towt & Associates
• Raymond James & Associates
• Raymond James Co.
• Raymond James Financial Services, Inc.
• RBC Dain Rauscher (formerly known as Dain Rauscher, Inc.)
• RBC Wealth Management (also known as RBC Capital Markets Corporation)
• Redstone Securities, Inc.
• Riordan Johnston & Javadizadeh, Inc.
• RJJ Pasadena Securities, Inc.
• Roth Capital Partners, Inc., (formerly known as Cruttenden Roth Securities)
• Round Hill Securities
• Royal Alliance Associates, Inc.
• Sagepoint Financial Inc.
• Salomon Smith Barney
• Salomon Smith Barney, Inc.
• Sanders Morris Mundy, Inc.
• Saxe-Colburg Insurance Solutions
• Schoff & Baxter, Inc.
• Schroder Werteim & Co., Inc.
• Scottrade, Inc.
• Secure Equity Group
• Securities America, Inc.
• Securities Services Network, Inc.
• Sentra Securities Corporation
• SIGMA Financial Group
• SK International Securities Corp.
• Smith Barney Shearson (also known as Salomon Smith Barney)
• Southwest Securities, Inc.
• Sterling Financial Investment Group, Inc.
• Steven Gregory Securities
• Stockcross Financial Services, Inc.
• Strategic Senior Resources
• Stratton Oakmont
• Stuart Chausseé & Associates
• Stuart Coleman & Co., Inc.
• Sun America
• Sunset Financial
• Sutro & Co.
• Synergy Investment
• T.D. Waterhouse Securities
• TD Waterhouse Investor Services
• Terry L. Jones Financial & Insurance Services
• Texas Capital Securities
• The Advest Group, Inc.
• The Beacon Companies
• The Boston Group
• The Investment Center, Inc.
• The Keller Group
• The Seidler Companies, Inc.
• The Shemano Group
• Thomas Green Securities
• Thrivent Investment Management, Inc.
• Times Securities, Inc.
• Tower Square Sec., Inc.
• Tradeway Securities Corp.
• Travelers Insurance Co.
• Triquest Financial Inc.
• Trusted Securities Advisors Corp.
• U.S. Capital
• U.S. Pacific Financial
• UBOC Investment Services
• UBS Financial Services, Inc.
• UBS Financial Services, Inc. (formerly known as PaineWebber)
• Union Bank Securities
• United Pacific
• United Pacific Securities, Inc.
• US Clearing Corp.
• USI Securities
• Vfinancial Investments
• VFG Securities, Inc.
• VanGuard Capital
• Vining Sparks IBC, LP
• W.J. Gallagher & Co., Inc.
• W.M. Financial Services, Inc.
• W.S. Griffith & Co., Inc. (also known as W.S. Griffith Securities Inc.)
• Wachovia Securities, LLC (formerly known as Everen Securities)
• Washington Mutual
• Waterhouse Securities, Inc.
• Wealthcare Alliance Inc.
• Wedbush Morgan Securities
• Wedbush Securities (also known as Wedbush Morgan Securities)
• Wells Fargo Advisors, LLC
• Wells Fargo Investments, LLC
• Wells Fargo Securities
• West Coast Financial Sec. Group
• Western International Securities, Inc.
• Western Reserve Life Assurance Co of Ohio
• Westrock Advisors, Inc.
• Wexford Clearing Services, Corp.
• WFP Holdings Inc.
• WFP Securities Corporation (doing business as WFP Securities)
• Winchester Investments
• WM Financial Services (now known as WAMU Investments, Inc.)
• WMA Securities
• Wolverton Securities Ltd.
• Wolverton Securities, USA, Ltd.
• Woodbridge Capital Portfolio Management
• World Group Securities, Inc.

Contact our office for a free consultation.