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Broker Complaints: Securities Management & Research, Inc. (CRD# 759)

The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Securities Management & Research, Inc.

Securities Management & Research, Inc. is an independent broker-dealer firm based out of Marion, Iowa. Securities Management & Research, Inc.  was incorporated under the laws of Florida in 1964. Securities Management & Research, Inc.  is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).  Securities Management & Research, Inc.  has offices in 52 U.S. states and territories. Securities Management & Research, Inc.  is owned by One Financial, Inc.

On February 24, 2014, Securities Management & Research, Inc. was fined $100,000 for failing to monitor and retain outbound emails for more than a year.

If you or someone you know has a complaint regarding Securities Management & Research, Inc.  or any of their brokers, call the attorneys at Fitapelli Kurta. Depending on the circumstances, you may be entitled to recover your losses. Our firm exclusively represents investors against broker-dealers before FINRA.

All cases are taken on a contingency fee basis which means we do not get paid unless and until you recover money. Call 877-238-4175 today for your free consultation.

Time to file a claim is limited, so do not delay. Call 877-238-4175 now to speak to an attorney for free.