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Summit Brokerage Services, Inc.

The investment lawyers at Gana Weinstein LLP represent clients in FINRA arbitration and other disputes with their financial advisors and broker-dealers, such as Summit Brokerage Services, Inc. (Summit). Misconduct spans a wide range of activity including breach of fiduciary duty, unsuitable investment advice, unauthorized account activity, securities fraud, and churning. When the person you entrust your money to commits malfeasance often times the brokerage firm will simply deny any possibility of wrongdoing and reject your complaint. Our attorneys can help you uncover broker misconduct and prosecute a claim against those responsible

Summit was formed in 1993, in Boca Raton, FL. On July 11, 2014, RCS Capital Corporation completed its acquisition of Summit Financial Services Group, Inc., the parent company of Summit. RCS’s rapidly growing independent broker dealer network will be called Cetera Financial Group. Summit is affiliated with, under common control, or otherwise performs business on the company names: Cetera Investment Services LLC, J.P. Turner & Company, L.L.C., Legend Equities Corporation, First Allied Advisory Services Inc., and Cetera Advisor Networks LLC

Summit Brokerage Services, Inc. – By the Numbers:
  • CRD# 34643
  • SEC Number 8-46310
  • Number of Representatives: 380 as of 2013
  • Total Revenues: $88 million as of 2013
  • Assets under Management: $10 billion as of 2013
  • 10 Regulatory Events as of 2014
  • 5 Customer Arbitrations as of 2014
Summit Brokerage Services, Inc. – In the News:

NASD v. Summit Brokerage Services, Inc., Case No. E072004009101 Summit entered into an AWC with the NASD and agreed to pay a $25,000 fine concerning allegations that from April 27, 2002 through July 23, 2004, the firm failed to establish and maintain written supervisory procedures to identify the principal responsible for reviewing customer complaints, disclosures, and arbitrations. As a result of this failure, Summit was alleged to have reported at least eight customer complaints late ranging from 26 to 470 days. The NASD also alleged that at the same time period Summit failed to amend three Form U-4s and one Form U-5 in a timely manner ranging from 182 to 266 days after.

The investment attorneys at Gana Weinstein LLP have represented hundreds of customers in investment related disputes with their brokerage firms. Our investment attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.

Client Reviews
Thank you Adam and all your colleagues for the professionalism and diligence in the final settlement of our securities fraud case. When a past law firm group turned our case down, you and your firm took on the case and we thank you for the great outcome. We would highly recommend your firm. Gloria K.
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! Myra W.
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.