Southwest Securities, Inc.
Southwest Securities is a registered broker-dealer with the Financial Industry Regulatory Authority (“FINRA”). It is also registered with the Securities and Exchange Commission (“SEC”). Accordingly, it must abide by securities regulations and federal and state securities laws. Failure to do so leaves it susceptible to private and public legal action.
Southwest Securities conducts 20 types of businesses. Its investment advisory services include portfolio management and selection of other advisors. Its clients consist of individuals, banking institutions, pension and profit sharing plans, charitable organizations, and businesses. It is compensated for its investment advisory services with either a percentage of assets under management or 12B-1 fees.
If you believe you have a claim against Southwest Securities, contact the attorneys at McCabe Rabin, P.A. for a free case review. Call 877-415-4040 or click here to e-mail us a written description of your case.