Finra Blog Posts

One of the most important items to check off your checklist when considering your retirement is to know your broker.  Some of us may know…

Kenneth Baker Dec 28, 2018

FINRA, The Financial Industry Regulatory Authority, has sanctioned SII Investments of Appleton, Wisconsin, IFC Holdings with violations on the sales of variable annuities to their…

Sean Sweeney Oct 23, 2018

FINRA recently suspended Broker Ethan De Naray of Minnetonka, Minnesota.  The group found De Naray engaged in unauthorized trading of his customers’ accounts while at…

Sean Sweeney Oct 22, 2018

The Wisconsin Department of Financial Institutions (WDFI) is charged with regulating securities in Wisconsin, though it is not part of their authority to recover funds…

Sean Sweeney Nov 08, 2011

Traditionally, FINRA Arbitration panels consist of three arbitrators, a public arbitrator, a public chairperson, and an…

Sean Sweeney Jun 20, 2011

If you believe that a broker has made material misrepresentations to you concerning the nature of a security or investment you were sold, you need…

Sean Sweeney Jun 16, 2011

MessageOur Staff

At The Securities Lawyers, you get hands-on involvement from a partner level attorney. If I'm on your case, there will be associates and paralegals assisting, but I will be the one trying your case, negotiating settlements, and mediating your case. Sean M. Sweeney

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Milwaukee Office

320 E Buffalo St
Ste 611
Milwaukee, WI 53202

Open Today 8:00am - 5:00pm

Open Saturday and Sunday for calls and emails.

More Info Directions (414) 755-5020