Call Now For a Free Consultation:
(614) 532-4576
Nationwide Representation

Ladenburg Thalmann & Co.

Consult with Our Legal Team
There is never a cost associated with a consultation
Brokerage Firms
For The Advocacy You Deserve Contact Us Today!
We’ll respond and let you know the best way to proceed with your case.

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 Wilson today.

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 fiduciary duty, churning, unsuitability, and 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.

Atlanta Office

945 East Paces Ferry Road, Suite 2275
Atlanta, GA 30326
Columbus Office

305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
New Orleans Office

900 Camp Street 
Suite 337
New Orleans, LA 70130
Los Angeles Office

2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
Quick Links
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
Read More
crosschevron-down linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram