If an individual investor has a dispute with a FINRA brokerage firm or stock broker, he/she most likely will have to arbitrate through FINRA's Dispute Resolution system. FINRA Arbitration holds arbitration hearings in five Florida cities: Miami, Boca Raton, Jacksonville, Tampa, and Orlando.
The Securities Fraud Lawyers at Greco & Greco, P.C. represent Florida residents in disputes with their financial advisors and securities salespersons, involving claims of suitability, violations of FINRA Rules, negligence, fraud, misrepresentation, ponzi schemes, breach of fiduciary duty, professional malpractice, and other claims. Please contact Scott Greco for a free attorney consultation about your case. We serve clients from all areas of Florida, including Jacksonville, Miami, Tampa, Orlando, St. Petersburg, Hialeah, Port St. Lucie, Tallahassee, Cape Coral, Fort Lauderdale, Pembroke Pines, Hollywood, Miramar, Gainesville, Coral Springs, Lehigh Acres, and Clearwater.
The Florida Office of Financial Regulation, Division of Securities, regulates the sales of securities in the state of Florida. It has offices in Tallahassee, Orlando, West Palm Beach, Miami and Tampa. Its website provides information on state securities Statutes and Rules, and information on how to file a complaint.
Florida's Securities and Investor Protection Act is similar to many states' Acts with regard to providing for civil liability for the commission of securities fraud in the sale of securities (including untrue statements of material fact or omissions of material fact). The statute provides for rescission (or damages if the investor no longer owns the security), reasonable attorney's fees, and interest.
Common Legal Claims by investors against their financial advisors in Florida are:
A. Suitability. Prior to recommending the purchase of specific investments or a specific investment strategy to a customer, a stock broker is required to determine that the investments are suitable to that particular investor. A suitability determination is based upon many different factors such as age, investment objectives, risk tolerance, employment situation, needs, income, assets, and investment experience. If an advisor’s recommendations of unsuitable investments result in the investor incurring significant losses, that investor may have a suitability claim against the broker and his/her firm.
B. Churning. Churning occurs when a broker exercises control over an account and allows the broker's interest in making commissions to override the investor's interests in the account. When a broker makes a buy or sell recommendation for an account, that broker should have the investor's best interests based on their investment objectives in mind. If the broker makes excessive buy and sell recommendations for the purposes of generating commissions for the broker by each buy and sell, that broker is engaged in churning the account. Excessive turnover in the assets of the account and/or a high cost to equity percentage are often a sign of churning.
C. Unauthorized Trading. Generally, an investor can have two kinds of an account, non-discretionary and discretionary. In a typical non-discretionary account, the broker must consult with and obtain the consent of the customer prior to making a trade in the account. Unauthorized trading occurs when a broker makes trades in a non-discretionary account without the consent of the customer.
D. Securities Fraud. Most of the claims in this list are subsets of securities fraud which is employing a device, scheme, or artifice to defraud, or obtaining money by means of untrue statements of material facts and failure to state material facts in violation of state blue sky / securities laws or federal law (Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5). If a broker makes false statements to an investor or fails to advise the investor of certain important facts, the investor may be able to recover losses incurred resulting from this fraud.
E. Margin Disputes. Margin trading involves borrowing money from the brokerage firm to purchase securities greater in value than the equity in an investor's account. Due to the risky nature of trading on the margin, disputes with brokers often arise as a result of significant losses. If a broker trades on the margin without the knowledge or consent of the investor, the investor may be able to recover the losses resulting from the fraud.
F. Ponzi Scheme Investment Scams. Ponzi schemes generally involve promises of high returns by salespersons over short periods of time, but in reality result in stealing from Peter to pay Paul. Because returns to investors in ponzi schemes are often paid out of new investment monies from new investors, the scheme will ultimately fall apart when the new investors dry up, leaving all investors often holding a worthless investment. Financial Advisors and their brokerage firms who sell ponzi scheme fraudulent investments may be found liable for selling unsuitable investments, securities fraud, sale of unregistered securities, failure to supervise, and other legal violations.
G. Failure to Supervise Broker. FINRA firms have a duty to supervise their registered brokers, and their failure to do so may form the basis of various legal claims against them. FINRA Rule 3110 states: Each member shall establish and maintain a system to supervise the activities of each registered representative, registered principal, and other associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA Rules. Final responsibility for proper supervision shall rest with the member.
Examples of legal grounds for liability of Broker-Dealers in these situations include:
a) under tort and agency law, principals can be found liable for the acts of their agents even if they are entirely innocent and have received no benefit from the transaction;
b) a broker's Broker-Dealer can also be found liable as a control person of that broker under state and federal securities laws; and
c) claims can be pursued in arbitration based on violations of FINRA rules including Rules related to supervision, suitability, and outside business activities.
Obviously, this list is by no means comprehensive and all of the legal requirements of the above claims stated are not completely set out. This web site is not intended to give legal advice or create an attorney-client relationship. Please contact our securities lawyers for a free consultation if you believe your financial advisor broker may be liable under one of the above claims, or for other wrongful conduct.
The Florida Securities and Investor Protection Act, Section 517.211, states as follows:
Remedies available in cases of unlawful sale.—
(1) Every sale made in violation of either s. 517.07 or s. 517.12(1), (4), (5), (9), (11), (13), (16), or (18) may be rescinded at the election of the purchaser, except a sale made in violation of the provisions of s. 517.1202(3) relating to a renewal of a branch office notification shall not be subject to this section, and a sale made in violation of the provisions of s. 517.12(13) relating to filing a change of address amendment shall not be subject to this section. Each person making the sale and every director, officer, partner, or agent of or for the seller, if the director, officer, partner, or agent has personally participated or aided in making the sale, is jointly and severally liable to the purchaser in an action for rescission, if the purchaser still owns the security, or for damages, if the purchaser has sold the security. No purchaser otherwise entitled will have the benefit of this subsection who has refused or failed, within 30 days of receipt, to accept an offer made in writing by the seller, if the purchaser has not sold the security, to take back the security in question and to refund the full amount paid by the purchaser or, if the purchaser has sold the security, to pay the purchaser an amount equal to the difference between the amount paid for the security and the amount received by the purchaser on the sale of the security, together, in either case, with interest on the full amount paid for the security by the purchaser at the legal rate, pursuant to s. 55.03, for the period from the date of payment by the purchaser to the date of repayment, less the amount of any income received by the purchaser on the security.
(2) Any person purchasing or selling a security in violation of s. 517.301, and every director, officer, partner, or agent of or for the purchaser or seller, if the director, officer, partner, or agent has personally participated or aided in making the sale or purchase, is jointly and severally liable to the person selling the security to or purchasing the security from such person in an action for rescission, if the plaintiff still owns the security, or for damages, if the plaintiff has sold the security.
(3) In an action for rescission:
(a) A purchaser may recover the consideration paid for the security or investment, plus interest thereon at the legal rate, less the amount of any income received by the purchaser on the security or investment upon tender of the security or investment.
(b) A seller may recover the security upon tender of the consideration paid for the security, plus interest at the legal rate, less the amount of any income received by the defendant on the security.
(4) In an action for damages brought by a purchaser of a security or investment, the plaintiff shall recover an amount equal to the difference between:
(a) The consideration paid for the security or investment, plus interest thereon at the legal rate from the date of purchase; and
(b) The value of the security or investment at the time it was disposed of by the plaintiff, plus the amount of any income received on the security or investment by the plaintiff.
(5) In an action for damages brought by a seller of a security, the plaintiff shall recover an amount equal to the difference between:
(a) The value of the security at the time of the complaint, plus the amount of any income received by the defendant on the security; and
(b) The consideration received for the security, plus interest at the legal rate from the date of sale.
(6) In any action brought under this section, including an appeal, the court shall award reasonable attorneys' fees to the prevailing party unless the court finds that the award of such fees would be unjust.
FINRA securities brokerage firms with their main offices in Florida:
1ST BRIDGEHOUSE SECURITIES, LLC
9881 SW 131 STREET, MIAMI, FL 33176
1ST DISCOUNT BROKERAGE, INC.
420 SOUTH STATE ROAD 7, SUITE 114, WELLLINGTON, FL 33414
Mailing Address: 420 SOUTH STATE ROAD 7, SUITE 114, WELLINGTON, FL 33414
1ST MUNICH CAPITAL, LLC
HERZOGSTR. 60, MUNICH, D-80803 GERMANY
Mailing Address: 1499 W PALMETTO PARK ROAD, SUITE 250, BOCA RATON, FL 33486
ACP SECURITIES, LLC
444 BRICKELL AVENUE, SUITE 928, MIAMI, FL 33131
ACTIVA CAPITAL MARKETS, INC.
1110 BRICKELL AVENUE, SUITE 902, MIAMI, FL 33131
AKAR CAPITAL MANAGEMENT, INC.
8551 W. SUNRISE BLVD. #102A, PLANTATION, FL 33322
Mailing Address: 8551 W. SUNRISE BLVD #102A, PLANTATION, FL 33322
ALLEGIANT SECURITIES L.L.C.
100 N. BISCAYNE BLVD., SUITE 2106, MIAMI, FL 33132
ALLEGRO SECURITIES LLC
3 W 57TH ST, FL 10, NEW YORK, NY 10019
ALLEN & COMPANY OF FLORIDA, INC.
1401 SOUTH FLORIDA AVENUE, LAKELAND, FL 33803
Mailing Address: P.O. BOX 387, LAKELAND, FL 33802
ALLEN C. EWING & CO.
50 NORTH LAURA STREET, SUITE 3625, JACKSONVILLE, FL 32202
Mailing Address: 50 N LAURA STREET, SUITE 3625, JACKSONVILLE, FL 32202
AMERICA'S CHOICE EQUITIES LLC
840 US HIGHWAY 1, SUITE 315, PALM BEACH GARDENS, FL 33408
AMERICAN MUNICIPAL SECURITIES, INC.
720 SECOND AVE S., ST. PETERSBURG, FL 33701
Mailing Address: P.O. BOX 11749, ST. PETERSBURG, FL 33733-1749
ARIA CAPITAL ADVISORS, LLC
475 CENTRAL AVENUE, SUITE 400, ST. PETERSBURG, FL 33701
ASG SECURITIES, INC.
218 EAST COMMERCIAL BLVD, SUITE 208-L, FT. LAUDERDALE, FL 33308
Mailing Address: 4737 N. OCEAN DR., #213, LAUDERDALE BY THE SEA, FL 33308
ATLAS ONE FINANCIAL GROUP, LLC
200 SOUTH BISCAYNE BOULEVARD, SUITE 4400, MIAMI, FL 33131
AVENTURA SECURITIES, LLC
2875 NE 191ST STREET, SUITE 524, AVENTURA, FL 33180
Mailing Address: 2875 NE 191ST STREET, SUITE 524, AVENTURA, FL 33180
777 YAMATO ROAD, SUITE 300, BOCA RATON, FL 33431
B & T SECURITIES, INC.
2799 NW BOCA RATON BLVD, SUITE 206, BOCA RATON, FL 33431
BAC FLORIDA INVESTMENTS
2333 PONCE DE LEON BLVD., SUITE 700, CORAL GABLES, FL 33134
BACHER & CO INC
6B CAY HARBOR, KEY LARGO, FL 33037
Mailing Address: 24 DOCKSIDE LANE, PMB #101, KEY LARGO, FL 33037
BALANCED SECURITY PLANNING, INC.
16956 MCGREGOR BLVD. # 7, FORT MYERS, FL 33908
BANIF SECURITIES INC
1001 BRICKELL BAY DR., SUITE 2904, MIAMI, FL 33131
Mailing Address: 1001 BRICKELL BAY DR., SUITE 2906, MIAMI, FL 33131
BANKERS INTERNATIONAL SECURITIES, INC.
11101 ROOSEVELT BLVD NORTH, 3RD FLOOR, ST. PETERSBURG, FL 33716-2334
Mailing Address: 11101 ROOSEVELT BLVD NORTH, 3RD FLOOR, ST.PETERSBURG, FL 33716-2334
BASIS FINANCIAL, LLC
3363 NE 163RD STREET, SUITE 706, N. MIAMI BEACH, FL 33160
BAYSHORE PARTNERS, LLC
401 EAST LAS OLAS BOULEVARD, SUITE 1160, FORT LAUDERDALE, FL 33301
BETA CAPITAL MANAGEMENT, L.P.
777 BRICKELL AVENUE, SUITE 1201, MIAMI, FL 33131
BG STRATEGIC ADVISORS LLC
525 SOUTH FLAGLER DRIVE, SUITE 200, WEST PALM BEACH, FL 33401
BIANCO FINANCIAL INC.
1691 MICHIGAN AVE. SUITE 240, MIAMI BEACH, FL 33139
Mailing Address: 1691 MICHIGAN AVE. SUITE 240, MIAMI, FL 33139
BIRKELBACH & CO.
8080 CYPRESS HOLLOW COURT, PONTE VEDRA BEACH, FL 32082
BNP PARIBAS INVESTMENT SERVICES, LLC
201 S. BISCAYNE BLVD., SUITE 1800, MIAMI, FL 33131
BROADSPAN SECURITIES LLC
1450 BRICKELL AVENUE, SUITE 2620, MIAMI, FL 33131
BROOKSTONE SECURITIES, INC.
2920 DRANE FIELD ROAD, LAKELAND, FL 33813
Mailing Address: PO BOX 8087, LAKELAND, FL 33802
BULL & BEAR BROKERAGE SERVICES, INC.
6817 SOUTHPOINT PARKWAY, SUITE 1003, JACKSONVILLE, FL 32216
BULLTICK SECURITIES, LLC
701 BRICKELL AVENUE, SUITE 2550, MIAMI, FL 33131
PASEO DE LOS TAMARINDOS 400, TORRE A PISO 23, COL. BOSQUES DE LAS LOMAS, MEXICO D.F., 05120 MEXICO
Mailing Address: 701 BRICKELL AVENUE SUITE 2550, MIAMI, FL 33131
CALTON & ASSOCIATES, INC.
14497 N. DALE MABRY HWY STE. 215, TAMPA, FL 33618
CAPITAL & CREDIT INTERNATIONAL, INC.
14600 N.E. 5TH COURT, MIAMI, FL 33161
CAPITAL & ESTATE MANAGEMENT, INC.
7143 MARINER BLVD., SPRING HILL, FL 34609
CARNES CAPITAL CORPORATION
8889 PELICAN BAY BOULEVARD, SUITE 500, NAPLES, FL 34108-7512
CASSEL SALPETER & CO., LLC
801 BRICKELL AVENUE, SUITE 650, MIAMI, FL 33131
225 N.E. MIZNER BLVD., SUITE 400, BOCA RATON, FL 33432
CBG FINANCIAL GROUP, INC.
2101 NW CORPORATE BLVD, SUITE 402, BOCA RATON, FL 33431
CEA ATLANTIC ADVISORS, LLC
101 EAST KENNEDY BOULEVARD; SUITE 3300, TAMPA, FL 33602
8302 GULF OF MEXICO BLVD, MARATHON, FL 33050
Mailing Address: 8302 GULF OF MEXICO BLVD., MARATHON, FL 33050
CGI MERCHANT CAPITAL, LLC
8400 NORTHWEST 36TH STREET, SUITE 220, MIAMI, FL 33166
CGIS SECURITIES LLC
990 BISCAYNE BLVD, SUITE 0-901, MIAMI, FL 33132
Mailing Address: 941 HARBOR DRIVE, KEY BISCAYNE, FL 33149
CHAMPION CAPITAL CORPORATION
141 WATERMAN AVE, SUITE 100, MOUNT DORA, FL 32757
CHILIAN PARTNERS, L.P.
1701 S. FLAGLER DRIVE, SUITE 1001, WEST PALM BEACH, FL 33401
Mailing Address: P.O. BOX 2685, PALM BEACH, FL 33480
CLARK NOBIL & CO.
2500 E. HALLANDALE BEACH BLVD. #701, HALLANDALE, FL 33009
Mailing Address: P.O. BOX 1797, HALLANDALE, FL 33008-1797
CNL SECURITIES CORP.
450 SOUTH ORANGE AVENUE, ORLANDO, FL 32801
Mailing Address: P.O BOX 4920, ORLANDO, FL 32802-4920
COBALT CAPITAL, INC.
210 WYMORE ROAD, WINTER PARK, FL 32789
COMMONWEALTH CAPITAL SECURITIES CORP.
400 CLEVELAND STREET, 7TH FLOOR, CLEARWATER, FL 33755-4041
CONVERGENT SECURITIES, LLC
3535 GALT OCEAN DRIVE, SOUTH SUITE, FORT LAUDERDALE, FL 33308
CORNWALL PARTNERS, LLC
12806 TOUCHSTONE PLACE, PALM BEACH GARDENS, FL 33418
Mailing Address: 191 GREAT HILL ROAD, BOX 192, CORNWALL, CT 06753
CP CAPITAL SECURITIES
1428 BRICKELL AVENUE, SUITE 600, MIAMI, FL 33131
CREDICORP SECURITIES, INC.
121 ALHAMBRA PLAZA, SUITE 1200, CORAL GABLES, FL 33134
CROSSTREE CAPITAL SECURITIES, LLC
4301 ANCHOR PARKWAY, SUITE 450, TAMPA, FL 33634
DAKOTA SECURITIES INTERNATIONAL, INC.
9211 SW 72 STREET SUITE 102, MIAMI, FL 33173
Mailing Address: 9211 SW 72 STREET, MIAMI, FL 33173
DAWSON JAMES SECURITIES, INC.
925 SOUTH FEDERAL HIGHWAY, SUITE 600, BOCA RATON, FL 33432
DELANEY EQUITY GROUP LLC
1665 PALM BEACH LAKES BLVD., SUITE 805, WEST PALM BEACH, FL 33401
DIVERSIFIED CAPITAL CORPORATION
2 BISCAYNE BOULEVARD, SUITE #1742, MIAMI, FL 33131
DOUBLE EAGLE SECURITIES OF AMERICA, INC.
6610 N. UNIVERSITY DRIVE, SUITE 250, TAMARAC, FL 33321
DOWNSTATE SECURITIES GROUP, INC.
259 INDIAN ROCKS ROAD NO., BELLEAIR BLUFFS, FL 33770-1729
E.S. FINANCIAL SERVICES, INC.
1395 BRICKELL AVE, SUITE 490, MIAMI, FL 33131
Mailing Address: 1395 BRICKELL AVE 4TH FLOOR, MIAMI, FL 33131
EAGLE FUND DISTRIBUTORS, INC.
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
EFG CAPITAL INTERNATIONAL
701 BRICKELL AVE, 9TH FLOOR & SUITE 1350, MIAMI, FL 33131-286
1717 NORTH BAYSHORE DRIVE, SUITE 217, MIAMI, FL 33132
EQUITY STATION, INC.
1200 N. FEDERAL HIGHWAY, SUITE 400, BOCA RATON, FL 33432
FALCON RESEARCH, INC.
1230 SOUTH MYRTLE AVE, SUITE 401, CLEARWATER, FL 33756
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
1499 W. PALMETTO PARK RD, SUITE 250, BOCA RATON, FL 33486
FIRST FLORIDA SECURITIES, INC.
11660 NIGHT HERON DRIVE, NAPLES, FL 34119
FIRST INTEGRITY CAPITAL PARTNERS CORP.
330 CLEMATIS STREET, #210, WEST PALM BEACH, FL 33401
FIRST MUTUAL PLANNING CORP.
7370 SO. ORIOLE BOULEVARD, SUITE 601C, DELRAY BEACH, FL 33446
FIRSTRADE SECURITIES INC.
133-25 37TH AVENUE, FLUSHING, NY 11354
FLORIDA ATLANTIC SECURITIES CORP.
9130 SOUTH DADELAND BLVD., SUITE 1704, MIAMI, FL 33156
FLORIDA INVESTMENT ADVISORS
601 BAYSHORE BLVD., SUITE 960, TAMPA, FL 33606
4775 TECHNOLOGY WAY, BOCA RATON, FL 33431
FRANKLIN CAPITAL INC
5263 CRESTHAVEN BLVD-VILLA H, WEST PALM BEACH, FL 33415
G. A. REPPLE & COMPANY
101 NORMANDY RD, CASSELBERRY, FL 32707
G.F. INVESTMENT SERVICES, LLC
2080 RINGLING BOULEVARD, 3RD FLOOR, SARASOTA, FL 34237
GEOFFREY RICHARDS SECURITIES CORP.
7570 S. FEDERAL HWY, SUITE 3, HYPOLUXO, FL 33462
GFG SECURITIES, LLC
701 BRICKELL AVENUE, SUITE 1730, MIAMI, FL 33131
GLOBAL INVESTOR SERVICES, L.C.
777 BRICKELL AVE. -- SUITE 1010, MIAMI, FL 33131
GLOBAL STRATEGIC INVESTMENTS, LLC
701 BRICKELL AVENUE, SUITE 1420, MIAMI, FL 33131
GOLF HOST SECURITIES, INC.
36750 US HWY 19 N., PALM HARBOR, FL 34684
GRANDVIEW CAPITAL, INC.
300 S PINE ISLAND RD, SUITE 305, FORT LAUDERDALE, FL 33324
GUZMAN & COMPANY
101 ARAGON AVENUE, CORAL GABLES, FL 33134-5426
GWN SECURITIES INC.
11440 NORTH JOG ROAD, PALM BEACH GARDENS, FL 33418-3764
301 SOUTH MISSOURI AVENUE, 2ND FLOOR, CLEARWATER, FL 33756
HALPERN CAPITAL, INC.
20900 NE 30TH AVE., SUITE 200, AVENTURA, FL 33180
HAMMERMAN & STRICKLAND SECURITIES, LLC
18544 DALE MABRY HWY N, LUTZ, FL 33548-7900
HARBOR VIEW ADVISORS, LLC
822 A1A NORTH, SUITE 200, PONTE VEDRA, FL 32082
HEDGECO SECURITIES, LLC
400 CLEMATIS STREET, SUITE 205, WEST PALM BEACH, FL 33401
HERITAGE CAPITAL GROUP, INC.
4811 BEACH BOULEVARD, SUITE 300, JACKSONVILLE, FL 32207
HIGH POINT CAPITAL GROUP, INC.
400 HIGH POINT DRIVE, SUITE 375, COCOA, FL 32926
Mailing Address: 400 HIGH POINT DRIVE SUITE 375, COCOA, FL 32926
HUNTER SCOTT FINANCIAL LLC.
500 GULFSTREAM BLVD, STE 105, DELRAY BH, FL 33483
HWJ CAPITAL PARTNERS II, LLC
751 PARK OF COMMERCE DRIVE, SUITE 118, BOCA RATON, FL 33487
Mailing Address: 751 PARK OF COMMERCE DRIVE, SUITE118-A, BOCA RATON, FL 33487
HYDE PARK CAPITAL ADVISORS, LLC
701 N. FRANKLIN STREET, TAMPA, FL 33602
ICD SECURITIES INC.
7301 SW 57TH COURT, SUITE 420, MIAMI, FL 33143
IDC SECURITES CORP.
2103 CORAL WAY, SUITE 202, MIAMI, FL 33145
INLET SECURITIES, LLC
233 NORTH CAUSEWAY SUITE B, NEW SMYRNA BEACH, FL 32169
INTEGRITY INVESTMENTS, INC.
221 PENSACOLA ROAD, VENICE, FL 34285
INTERBOLSA SECURITIES, LLC
1200 BRICKELL AVENUE, SUITE 800, MIAMI, FL 33131
INTERCAM SECURITIES, INC.
1221 BRICKELL AVENUE, SUITE 1070, MIAMI, FL 33131
INTERNATIONAL ASSETS ADVISORY, LLC
300 SOUTH ORANGE AVENUE, STE 1100, ORLANDO, FL 32801
Mailing Address: 300 SOUTH ORANGE AVENUE, SUITE 1100, ORLANDO, FL 32801
INTL TRADING, INC.
329 PARK AVENUE NORTH, SUITE 350, WINTER PARK, FL 32789
Mailing Address: 329 PARK AVENUE NORTH, SUITE 350, WINTER PARK, FL 32789
INVEST FINANCIAL CORPORATION
8745 HENDERSON ROAD, SUITE 300, TAMPA, FL 33634
Mailing Address: 8745 HENDERSON ROAD, SUITE 300, TAMPA, FL 33634
4400 BISCAYNE BLVD, 11TH FLOOR, MIAMI, FL 33137
INVESTMENTS BY PLANNERS, INC.
2500 N. MILITARY TRAIL, SUITE 285, BOCA RATON, FL 33431-6306
601 BRICKELL KEY DRIVE, SUITE 400, MIAMI, FL 33131
ITA FINANCIAL SERVICES, LLC
100 SE 2ND STREET, 46TH FLOOR, MIAMI, FL 33131
ITAU EUROPA SECURITIES INC.
200 S.BISCAYNE BLVD., SUITE 2200, MIAMI, FL 33131
J.W. COLE FINANCIAL, INC.
6928 W. LINEBAUGH AVE. STE. 101, TAMPA, FL 33625
JAE INVESTMENTS, INC.
7310 DOVER COURT, PARKLAND, FL 33067
JAMES I. BLACK & COMPANY
311 SOUTH FLORIDA AVENUE, LAKELAND, FL 33801
Mailing Address: P.O. BOX 24838, LAKELAND, FL 33802
JHS CAPITAL ADVISORS, INC.
501 E. KENNEDY BLVD, SUITE 1400, TAMPA, FL 33602
JVB FINANCIAL GROUP, LLC
2700 N. MILITARY TRAIL, SUITE 200, BOCA RATON, FL 33431
JWH SECURITIES, INC.
301 YAMATO ROAD, SUITE 2200, BOCA RATON, FL 33431-4931
KASHNER DAVIDSON SECURITIES CORPORATION
77 SOUTH PALM AVENUE, SARASOTA, FL 34236-7724
KENDRICK PIERCE & CO
511 W. BAY STREET, SUITE 300, TAMPA, FL 33606
Mailing Address: 511 W. BAY STREET, SUITE 300, TAMPA, FL 33606
KENNETH, JEROME & CO.,INC.
147 COLUMBIA TPKE, FLORHAM PK, NJ 07932
Mailing Address: P.O. BOX 38, FLORHAM PK, NJ 07932-0038
KILEY PARTNERS, INC.
13241 OAKMEADE, PALM BEACH GARDENS, FL 33418
KOVACK SECURITIES INC.
6451 N. FEDERAL HWY., SUITE 1201, FT. LAUDERDALE, FL 33308
KOVITZ SECURITIES, LLC
115 S. LASALLE ST., 27TH FLOOR, CHICAGO, IL 60603
KPMG CORPORATE FINANCE LLC
303 EAST WACKER DRIVE, FLOOR 22, CHICAGO, IL 60601
KRAMER SECURITIES CORPORATION
7120 S.W. 95 STREET, MIAMI, FL 33156
Mailing Address: P.O. DRAWER 431456, MIAMI, FL 33243
LAFISE SECURITIES CORPORATION
200 S. BISCAYNE BLVD, SUITE 3550, MIAMI, FL 33131
LAMPOST CAPITAL, L.C.
7777 W. GLADES ROAD, SUITE 213, BOCA RATON, FL 33434
LANE, BERRY & CO. INTERNATIONAL, LLC
225 FRANKLIN STREET, SUITE 2200, BOSTON, MA 02110
Mailing Address: 880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
LCG CAPITAL ADVISORS, LLC
201 EAST KENNEDY BLVD, SUITE 325, TAMPA, FL 33602
LEGEND EQUITIES CORPORATION
4600 EAST PARK DRIVE, SUITE 300, PALM BEACH GARDENS, FL 33410
LIVINGSTON MONROE CAPITAL GROUP INC.
5550 GLADES ROAD, SUITE 308, BOCA RATON, FL 33431
MAGELLAN GLOBAL PARTNERS INC.
2103 CORAL WAY, SUITE 202, MIAMI, FL 33145
MAITLAND SECURITIES, INC.
1111 DOUGLAS AVENUE, ALTAMONTE SPRINGS, FL 32714
9495 SUNSET DRIVE, SUITE B275, MIAMI, FL 33173
MBS CAPITAL MARKETS, LLC
4890 W. KENNEDY BLVD., SUITE 288, TAMPA, FL 33609
MCDUFFIE/MORRIS FINANCIAL GROUP, INC.
3 BROADRIVER ROAD, ORMOND BEACH, FL 32174-8744
MEDITERRANEAN SECURITIES GROUP, LLC
301 YAMATO ROAD, SUITE 4160, BOCA RATON, FL 33431
Mailing Address: 301 YAMATO ROAD, SUITE 4160, BOCA RATON, FL 33431
MERCANTIL COMMERCEBANK INVESTMENT SERVICES
220 ALHAMBRA CIRCLE, PH FLOOR, CORAL GABLES, FL 33134
MERRIMAC CORPORATE SECURITIES, INC.
1185 SPRING CENTRE SOUTH BLVD, STE 1060, ALTAMONTE SPRINGS, FL 32714
MICHAEL SAUNDERS SECURITIES CORP.
307 S. ORANGE AVENUE, SARASOTA, FL 34236
MONEY CONCEPTS CAPITAL CORP
11440 NORTH JOG ROAD, PALM BEACH GARDENS, FL 33418
Mailing Address: 11440 NORTH JOG ROAD, PALM BEACH GARDENS, FL 33418-3764
MOWELL FINANCIAL GROUP, INC.
407 EAST SIXTH AVENUE, TALLAHASSEE, FL 32303-6312
MSC - BD, LLC
23150 FASHION DRIVE, SUITE 231, ESTERO, FL 33928
MUREX CAPITAL, LLC
2600 DOUGLAS RD., SUITE 1010B, CORAL GABLES, FL 33134
MUTUAL FUND SPECIALISTS, INC.
1531 ALOMA AVE, WINTER PARK, FL 32789
Mailing Address: P.O. BOX 2767, WINTER PARK, FL 32790-2767
MUTUAL TRUST CO. OF AMERICA SECURITIES
2963 GULF TO BAY BLVD., SUITE #330, CLEARWATER, FL 33759
Mailing Address: 2963 GULF TO BAY BOULEVARD, SUITE #330, CLEARWATER, FL 33759
MYSTOCKFUND SECURITIES, INC.
13700 US HIGHWAY ONE, SUITE 202E, JUNO BEACH, FL 33408
NAVAID FINANCIAL SERVICES, INC.
1522 LOCUST ST., FL. 2, PHILADELPHIA, PA 19102
NELSON IVEST BROKERAGE SERVICES, INC.
423 COUNTRY CLUB DRIVE, WINTER PARK, FL 32789-2968
NEWBRIDGE SECURITIES CORPORATION
1451 CYPRESS CREEK ROAD, SUITE 204, FT. LAUDERDALE, FL 33309
Mailing Address: 1451 CYPRESS CREEK ROAD, SUITE 204, FT. LAUDERDALE, FL 33309
NEWPORT GROUP SECURITIES, INC.
300 INTERNATIONAL PARKWAY STE 270, SUITE 270, HEATHROW, FL 32746-5035
NOBLE FINANCIAL CAPITAL MARKETS
951 YAMATO ROAD, SUITE 210, BOCA RATON, FL 33431
NSM SECURITIES, INC.
1700 PALM BEACH LAKES BLVD, SUITE 900, WEST PALM BEACH, FL 33401
Mailing Address: 1700 PALM BEACH LAKES BLVD., SUITE 900, WEST PALM BEACH, FL 33401
ODD LOT BONDS, INC
18851 N.E. 29 AVE., SUITE 721, AVENTURA, FL 33180
OLD GREENWICH PARTNERS, LLC
3563 OLDFIELD LAKE COURT, JACKSONVILLE, FL 32223
Mailing Address: 11111-70 SAN JOSE BLVD, BOX 306, JACKSONVILLE, FL 32223
OSAGE INVESTMENTS, INC.
1200 NORTH FEDERAL HIGHWAY, SUITE 400, BOCA RATON, FL 33432
PAF SECURITIES, LLC
601 BRICKELL KEY DRIVE, SUITE 604, MIAMI, FL 33131
PCE INVESTMENT BANKERS, INC.
200 E. NEW ENGLAND AVENUE, SUITE 400, WINTER PARK, FL 32789
PERAZA CAPITAL AND INVESTMENT, LLC
111 SECOND AVENUE NORTHEAST, SUITE 705, SAINT PETERSBURG, FL 33701
PERIGEE SECURITIES LP
1605 MAIN STREET, SUITE 709, SARASOTA, FL 34236
PMK SECURITIES & RESEARCH, INC.
105 E. ATLANTIC AVENUE, SUITE 200, DELRAY BEACH, FL 33444
POINTE ATLANTIC, INC
601 N LOIS AVENUE, SUITE 26, TAMPA, FL 33609
Mailing Address: 9753 NORTH 66TH STREET, SUITE 200, PINELLAS PARK, FL 33782
PORTFOLIO RESOURCES GROUP, INC.
800 BRICKELL AVENUE, SUITE 903, MIAMI, FL 33131
PROGRESS INVESTMENTS LLC
701 BRICKELL AVENUE, SUITE 2550, MIAMI, FL 33131
QUANTRIVER FINANCIAL, LLC
4048 EVANS AVENUE, SUITE 207, FORT MYERS, FL 33901
R.M. STARK & CO., INC.
701 SE 6TH AVENUE, SUITE 203, DELRAY BEACH, FL 33483-5186
Mailing Address: 701 SE 6TH AVENUE, SUITE 203, DELRAY BEACH, FL 33483
RAYMOND JAMES & ASSOCIATES, INC.
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
Mailing Address: P.O. BOX 12749, ST. PETERSBURG, FL 33733-2749
RAYMOND JAMES FINANCIAL SERVICES, INC.
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
REPUBLIC SECURITIES OF AMERICA,INC.
600 E. COLONIAL DR. #100, ORLANDO, FL 32803
Mailing Address: 600 EAST COLONIAL DRIVE, SUITE 100, ORLANDO, FL 32803
REVERE SECURITIES CORP.
3200 N. MILITARY TRAIL, STE. 215, BOCA RATON, FL 33431
ROGAN & ASSOCIATES, INC.
200 9TH AVENUE. NORTH, SUITE 150, SAFETY HARBOR, FL 34695-3500
RSG CAPITAL CORP.
7499 WEST ATLANTIC AVENUE, SUITE 208, DELRAY BEACH, FL 33446
SABADELL SECURITIES USA, INC.
1111 BRICKELL AVENUE, 30TH FLOOR, MIAMI, FL 33131
SADDLEBROOK INVESTMENTS, INC.
5700 SADDLEBROOK WAY, WESLEY CHAPEL, FL 33543-4499
SAXIS GROUP, LLC.
636 7TH AVENUE NORTH, SAINT PETERSBURG, FL 33701
Mailing Address: 17 STATE ST, 11TH FLOOR, MAILBOX 101, NEW YORK, NY 10004
SCHLITT INVESTOR SERVICES, INC.
1717 INDIAN RIVER BLVD-STE 300, VERO BEACH, FL 32960-0867
SEACOAST INVESTOR SERVICES, INC.
704 SW PORT ST LUCIE BLVD, PORT ST LUCIE, FL 34953
SECURITIES RESEARCH, INC.
3055 CARDINAL DRIVE, SUITE 104, VERO BEACH, FL 32963
SFI INTERNATIONAL, LLC
10575 STONEBRIDGE BLVD., BOCA RATON, FL 33498
SHAY FINANCIAL SERVICES, INC.
1000 BRICKELL AVE, SUITE 500, MIAMI, FL 33131
SHEARSON FINANCIAL SERVICES, LLC
7000 W. PALMETTO PARK ROAD, SUITE 306, BOCA RATON, FL 33433
SHELTER BAY SECURITIES, LLC
8942 SHENENDOAH CIRCLE, NAPLES, FL 34113
SINGER XENOS SECURITIES, CORP.
800 DOUGLAS ROAD, SUITE 900, CORAL GABLES, FL 33134-3187
SKYWAY ADVISORS, LLC
100 NORTH TAMPA STREET, SUITE 3550, TAMPA, FL 33602
SLAVIC INVESTMENT CORPORATION
1075 BROKEN SOUND PARKWAY NW, SUITE 100, BOCA RATON, FL 33487-3540
SOLOWEY & CO.
6801 S.W. 101 STREET, MIAMI, FL 33156
Mailing Address: P. O. BOX 566060, MIAMI, FL 33256-6060
SOUTHERN TRUST SECURITIES, INC.
145 ALMERIA AVENUE, CORAL GABLES, FL 33134
SOUZA BARROS SECURITIES, INC
1221 BRICKELL AVENUE, SUITE 1120, MIAMI, FL 33131
SOVEREIGN-AMERICAN SECURITIES, INC.
1016 COLLIER CENTER WAY STE 100, NAPLES, FL 34110
SPARTAN SECURITIES GROUP, LTD.
15500 ROOSEVELT BLVD, SUITE 303, CLEARWATER, FL 33760
SPECIALTY FINANCE GROUP, LLC
2505 SOUTH OCEAN BOULEVARD, SUITE 212, PALM BEACH, FL 33480
STANCHART SECURITIES INTERNATIONAL, INC.
1111 BRICKELL AVENUE, 16TH FLOOR, MIAMI, FL 33131
Mailing Address: 1095 AVENUE OF THE AMERICAS, NEW YORK, NY 10036
STATETRUST INVESTMENTS INC.
800 BRICKELL AVENUE - SUITE 100, MIAMI, FL 33131
STERLING ENTERPRISES GROUP, INC.
6827 FIRST AVENUE SOUTH, ST. PETERSBURG, FL 33707
Mailing Address: 138 107TH AVENUE SUITE 335, TREASURE ISLAND, FL 33706
STRATSTONE SECURITIES, LLC
2100 WEST CYPRESS CREEK RD., FT. LAUDERDALE, FL 33309
Mailing Address: 2100 WEST CYPRESS CREEK RD., FT. LAUDERDALE, FL 33309
SUMMIT BROKERAGE SERVICES, INC.
595 S. FEDERAL HIGHWAY, SUITE 500, BOCA RATON, FL 33432
Mailing Address: 595 SOUTH FEDERAL HIGHWAY, SUITE 500, BOCA RATON, FL 33432
TCT SECURITIES & DERIVATIVES, LLC
1110 BRICKELL AVENUE, SUITE 509, MIAMI, FL 33131
TFG EQUITIES, INC.
6111 BROKEN SOUND PARKWAY, NW, SUITE 150, BOCA RATON, FL 33487
Mailing Address: 6111 BROKEN SOUND PARKWAY, SUITE 150, BOCA RATON, FL 33487
THE CARNEY GROUP, INCORPORATED
135 S.E. 5TH AVENUE, SUITE 202, DELRAY BEACH, FL 33483
THE CARSON MEDLIN COMPANY
4100 WEST KENNEDY BLVD., SUITE 305, TAMPA, FL 33609-2290
THE PENNSYLVANIA GROUP, INCORPORATED
4445 NORTH A1A, SUITE 222, VERO BEACH, FL 32963
TIMOTHY PARTNERS, LTD.
1055 MAITLAND CENTER COMMONS, MAITLAND, FL 32751
1015 NW 56TH TERRACE, GAINESVILLE, FL 32605
Mailing Address: P.O. BOX 358230, GAINESVILLE, FL 32635-8230
888 E. LAS OLAS BLVD, SUITE 300, FORT LAUDERDALE, FL 33301
TRADESPOT MARKETS INC.
13900 SW 24TH STREET, DAVIE, FL 33325
TRADESTATION SECURITIES, INC.
8050 SW 10TH STREET, SUITE 2000, PLANTATION, FL 33324
Mailing Address: 8050 SW 10TH STREET, SUITE 2000, PLANTATION, FL 33324
TRADEWIRE SECURITIES LLC
1441 BRICKELL AVENUE, SUITE 1210, MIAMI, FL 33131
TRADINGSCREEN BROKERAGE SERVICES LLC
30 IRVING PL, FL 4, NEW YORK, NY 10003
TRANSAM SECURITIES, INC.
1111 DOUGLAS AVENUE, ALTAMONTE SPRINGS, FL 32714
TRANSAMERICA FINANCIAL ADVISORS, INC
570 CARILLON PARKWAY, ST. PETERSBURG, FL 33716-1202
Mailing Address: P.O. BOX 9053, CLEARWATER, FL 33758-9053
499 PARK AVENUE, SUITE 2001, NEW YORK, NY 10022
Mailing Address: 499 PARK AVE, FL 20, NEW YORK, NY 10022-1231
ULTRALAT CAPITAL MARKETS, INC.
801 BRICKELL AVENUE, SUITE 1060, MIAMI, FL 33131
Mailing Address: 801 BRICKELL AVENUE, MIAMI, FL 33131
UNITED CAPITAL MARKETS, INC.
240 CRANDON BLVD., SUITE 167, KEY BISCAYNE, FL 33149
UNITED SECURITY CORPORATION
4400 BISCAYNE BLVD, SUITE 950, MIAMI, FL 33137
Mailing Address: 4400 BISCAYNE BLVD., MIAMI, FL 33137
VALOR FINANCIAL SECURITIES LLC
521 WEST CENTRAL AVENUE, WINTER HAVEN, FL 33880
VARIANT TRADING INSTITUTIONAL GROUP, INC.
225 N.E. MIZNER BOULEVARD, SUITE 730, BOCA RATON, FL 33432
VASILIOU & COMPANY, INC.
1000 SO. POINTE DRIVE, MIAMI BEACH, FL 33139
VCG SECURITIES, LLC
407 S.E. 1ST STREET, DELRAY BEACH, FL 33483
801 BRICKELL AVENUE, SUITE 2500, MIAMI, FL 33131
VENECREDIT SECURITIES, INC.
1111 BRICKELL AVENUE, SUITE 1575, MIAMI, FL 33131
Mailing Address: 1111 BRICKELL AVENUE, SUITE 1575, MIAMI, FL 33131
VFINANCE INVESTMENTS, INC
1200 N. FEDERAL HIGHWAY, SUITE 400, BOCA RATON, FL 33432
VIEWTRADE SECURITIES, INC.
7280 W. PALMETTO PARK RD., 105, BOCA RATON, FL 33433
VOGUE CAPITAL MANAGEMENT LLC
18911 COLLINS AVENUE, #1201, SUNNY ISLES BEACH, FL 33160-2389
WALL STREET MONEY CENTER CORP.
2385 EXECUTIVE CENTER DR., SUITE #100, BOCA RATON, FL 33431
Mailing Address: 2385 EXECUTIVE CENTER DRIVE, SUITE #100, BOCA RATON, FL 33431
WEISS CAPITAL SECURITIES, INC.
15430 ENDEAVOUR DRIVE, JUPITER, FL 33478
WELCOME LIFE SECURITIES, LLC
6001 BROKEN SOUND PARKWAY, SUITE 320-A, BOCA RATON, FL 33487
YOUNG, STOVALL AND COMPANY
9627 S. DIXIE HWY-STE 101, MIAMI, FL 33156