World Equity Group, and Excessive Trading

We are currently investigating allegations made against World Equity Group, an Arlington Heights, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against World Equity Group, making allegations that it failed to establish and maintain an adequate supervisory system regarding unsuitable excessive trading, or churning, from 2009 to 2012.

To settle these claims, World Equity Group agreed to pay a $50,000 fine.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in the Phoenix area, and Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

Click to view:  WEG FINRA AWC 4.26.16

If you have lost money with World Equity Group due to excessive trading or churning, and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or call us at 720-599-3505.