Ladenburg Thalmann & Co. Loss Claims
Contact a Stock Fraud Attorney at Meyer Wilson
Ladenburg Thalmann & Co. is a registered brokerage firm based out of
New York City. It is registered with the Securities and Exchange Commission
(SEC), six self-regulatory organizations, and 53 U.S. states and territories.
Since 1971, Ladenburg Thalmann has aimed to "achieve outstanding
results for [their] clients." Some of the services they provide include
wealth management, initial public offerings, alternative investments,
securities brokerage/management, and more.
According to FINRA's BrokerCheck® report of Ladenberg Thalmann,
the firm has 35 regulatory events and 14 arbitration events in its disclosure
events history. Any time a client or a regulating body suspects a rule
violation or some type of misconduct, they can take action.
If you invested with Ladenburg Thalmann or one of its registered brokers
and lost a substantial amount of money, we invite you to contact Meyer
Examples of Past Regulatory & Arbitration Events
In October 2011, a relatively minor allegation was brought against Ladenburg
Thalmann, accusing the brokerage firm of violating FINRA Rule 2010 –
failure to execute orders fully and promptly. Without admitting or denying the allegation,
Ladenburg paid a $5,000 fine. In a separate regulatory event in April
2009, allegations of multiple failures accused Ladenburg of failing to
enforce procedures to ensure compliance with NASD rules, among other things.
Ladenburg Thalmann paid a $200,000 fine.
In September 2002, an investor accused Ladenburg Thalmann of breaching
failure to supervise. In October 2003, at arbitration, the party that brought these allegations
was awarded more than $1.1 million.
Did you invest with Ladenburg Thalmann and lose money?
Losing money on your investments alone is not enough to indicate fraud
or misconduct. However, if you lost a substantial amount of money, $75,000
or more, and you have been noticing certain
red flags, we encourage you to contact our firm for further investigation. The investor
loss attorneys at Meyer Wilson are here to help investors recover losses
caused by fraud and misconduct. To learn more about how we may be able
to help you, contact us today at (888) 390-6491.