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.