Lincoln Investment and Consolidated Reports

We are currently investigating allegations made against Lincoln Investment, a Wyncote, Pennsylvania-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lincoln Investment, making allegations regarding its failure to supervise consolidated reports from May 2013 to August 2014.  To settle these allegations, it agreed to pay a fine of $75,000.

FINRA alleged that Lincoln Investment failed to adequately supervise the use of consolidated reports, including to ensure that its representatives were complying with its internal procedures.

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 throughout Pennsylvania.  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 Financial Services, ProEquities, Securities America, National Securities Corp., and many others.

Click to view:  Lincoln FINRA AWC

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