Ladenburg Thalmann

Ladenburg Thalmann is a financial services company that offers investment banking, asset management, and securities brokerage services.

CCI Score

-36.31

0.02% April 18

Latest Event

FINRA fines Ladenburg Thalmann broker-dealers for supervision failures

FINRA imposed fines totaling $1.275M on two independent broker-dealers owned by Ladenburg Thalmann due to inadequate supervision of hundreds of brokers. This incident highlights serious deficiencies in internal oversight and risk management practices at the firm.

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TOADIE

Ladenburg Thalmann is currently rated as a Toadie.

-30 to -44 CCI Score

Companies scoring in this range actively seek to please authoritarian regimes. They offer proactive support and assistance in exchange for preferential treatment, compromising ethical standards for business gains and political favor.

Latest Events

MAR

05

2025

FINRA fines Ladenburg Thalmann broker-dealers for supervision failures
-29.64

FINRA imposed fines totaling $1.275M on two independent broker-dealers owned by Ladenburg Thalmann due to inadequate supervision of hundreds of brokers. This incident highlights serious deficiencies in internal oversight and risk management practices at the firm.
-30

Business Practices and Ethical Responsibility

March 29

The regulatory fine imposed by FINRA due to the failure to supervise brokers suggests serious lapses in ethical business practices and internal controls within the firm. Such oversights not only jeopardize investor interests but also raise concerns about the company's commitment to responsible and ethical management practices in the financial services industry.

Finra fines two IBDs owned by Ladenburg Thalmann a total of $1.275M
DEC

06

2023

Shareholder Lawsuits Challenge Acquisition Transparency
-34.88

Multiple shareholder lawsuits have been filed against Ladenburg Thalmann in an effort to block its planned acquisition by Advisor Group. The lawsuits allege that the firm's proxy statement omitted key financial projections and undervalued shares, raising concerns over transparency and fairness in the transaction.
-40

Business Practices and Ethical Responsibility

March 29

Ladenburg Thalmann is being accused of failing to disclose critical financial information and undervaluing shareholder assets in its proxy statement related to a major acquisition. This alleged lack of transparency and ethical business practice undermines shareholder trust and contributes to an opaque corporate culture that can facilitate broader concentrations of power.

Ladenburg Shareholders File Suit to Block Advisor Group Acquisition
OCT

01

2020

Multiple Regulatory Sanctions and Customer Complaints at Ladenburg Thalmann
-44.41

An investigation reports that Ladenburg Thalmann has repeatedly faced regulatory actions, including fines for excessive commissions, supervisory failures, and best execution lapses, resulting in widespread customer complaints.
-70

Business Practices and Ethical Responsibility

March 29

The article details multiple FINRA-imposed sanctions and fines—including orders to disgorge excessive commissions—as well as chronic supervisory and best execution failures. These issues underscore a pattern of unethical business practices that compromise investor protection and reflect negatively on the company’s commitment to ethical responsibility.

Ladenburg Thalmann: Customer Complaints & Regulatory Actions