Lincoln Financial Securities Attorney

Gana LLP helps clients determine if their investment losses with brokerage firms, such as Lincoln Financial were the result of regular market forces or firm misconduct. When clients first retain us, many of them have suffered substantial losses to their portfolios that they cannot understand. We can help investors recoup their losses. Our firm applies a detailed and forensic methodology to understanding investment losses as well as the applicable law to hold the wrongful party accountable.

Lincoln National Corporation is a Fortune 250 holding company operating through multiple insurance and investment management businesses subsidiary companies. Lincoln Financial Group is the marketing name for Lincoln National and its subsidiary companies including Lincoln Financial Advisors and Sagemark Consulting, Lincoln Financial Distributors, Lincoln National Life Insurance Company, Lincoln Life & Annuity Company of New York, First Penn-Pacific Life Insurance Company, Lincoln Financial Media. Lincoln National maintains its principal executive offices in Radnor, Pennsylvania.

Lincoln Financial Advisors - By the Numbers:

  • CRD# 3978
  • SEC# 8-14685
  • 11 Regulatory Events
  • 4 Customer Complaints
  • Total Assets: $223B
  • Total Equity: $13.3B
  • Registered Representatives: 8263

Lincoln Financial - In the News:

FINRA Disciplinary Action No. 2009016302501 - FINRA alleged that Lincoln Financial failed to adequately supervise its registered representatives' variable annuity redemptions, failed to enforce its policies and procedures designed to ensure that all of its representatives were properly licensed in the states where they conducted securities business, and failed to systematically and consistently enforce its supervisory procedures to ensure that all securities related emails sent or received by its registered representatives were captured and retained

FINRA Disciplinary Action No. 2010025074101 - FINRA alleged that the firm lacked an effective system for responding to certain "red flags" of potential misconduct by its representatives. As a result of those supervisory deficiencies, Lincoln Financial failed to detect and prevent a Ponzi scheme operated by one of its registered representatives.

FINRA Disciplinary Action No. C8A050067 - FINRA alleged that Lincoln Financial failed to prepare and maintain adequate written supervisory procedures to ensure the firm could identify who is responsible for the reporting of customer complaints; specify what should be considered in reviewing customer complaints; specify when customer complaints should be reviewed; and specify the means used to evidence that customer complaints had been reviewed.

The law offices of Gana LLP has successfully resolved hundreds of securities arbitrations through verdict or settlement. We represent individuals and institutions throughout the United States in disputes with their brokerage firm and financial advisors. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free of charge and the firm is only compensated if you recover.

Client Reviews
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"I will never forget how much you helped me by winning my case! I never thought I would see any money from my investment. I admire the way you fight for everyday people against big companies. Thank you so much!"
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"Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future." Rob D. - Co-Counsel.
★★★★★
"If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional." Nancy N.
★★★★★
Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.
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Gana LLP has the best attorneys period. They work hard, they work fast and I would recommend them to anyone. They are like family. Liz N.