New England Securities Investment Attorney

Our law firm represents investor claims against financial advisors and brokerage firms, such as New England Securities. Securities related misconduct spans many issues and topics that violate various industry standards and rules including securities fraud,unsuitable and inappropriate investment advice, and failure to properly understand new investment products. Our firm’s lawyers can analyze your account statements and investment to uncover evidence of misconduct in the sale of securities.

New England Securities Corporation is licensed in all 50 states and offers a broad range of products for institutional and individual investors. New England Securities offers a full array of products and services including mutual funds, variable insurance products, and full-service brokerage accounts.

New England Securities is affiliated with, under common control, or otherwise performs business under the company names NEL Equity Services Corporation, and MetLife Securities.

New England Securities – By the Numbers:

  • CRD# 615
  • SEC# 8-13910
  • 9 Regulatory Events
  • 11 Customer Complaints
  • Revenue: $245 million – 2012
  • Assets Under Management: $43.3 billion
  • Representatives: 2,071 - 2012

New England Securities – In the News:

FINRA v. New England Securities, et al, – The Financial Industry Regulatory Authority (FINRA) fined New England Securities and its parent firm MetLife Securities, Inc., a total of $1.2 million for failing to establish an adequate supervisory system to review broker emails correspondence. In addition, FINRA found that New England Securities failed to adequately supervise broker participation in outside business activities and private securities transactions. According to FINRA, the supervisory failures allowed two MetLife brokers to engage in outside business activities without detection by the firm.

NASD v. New England Securities, et al, - NASD fined New England Securities and its parent firm MetLife Securities, Inc., (MSI), and Walnut Street Securities, Inc. (WSS) a total of $5 million concerning allegation of providing inaccurate and misleading information to NASD, allowing late trading of mutual funds, failing to produce e-mails in a timely fashion. The NASD found MSI, New England Securities, and WSS provided inaccurate and misleading responses despite having learned information raising questions about their accuracy.

Gana LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.

Client Reviews
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"Adam is a superior litigator who competently balances his legal skill set with a pragmatic focus on the end goal. I recommend him and his firm highly."
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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.
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"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.
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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.