Infinity Financial Services (“Infinity Financial”) (CRD#144302) has complaints filed by FINRA (Financial Industry Regulatory Authority) and state regulatory organizations. At the Law Offices of Robert Wayne Pearce, we have investigated Infinity Financial, its regulatory complaints, and have also represented investors with claims of fraud, negligence, and breach of fiduciary duty against this organization and its financial advisors.
If you’ve suffered investment losses at Infinity Financial due to broker misconduct or unsuitable recommendations, you have legal options to recover your money. The firm’s documented history of supervisory failures and regulatory violations suggests systemic problems that may have directly impacted your portfolio. Even if you signed an arbitration agreement when opening your account, you can still pursue claims through FINRA arbitration to hold the firm and your advisor accountable for investment losses caused by negligence or fraud.
Time is critical—securities claims have strict filing deadlines. Understanding your rights and the evidence needed to support your claim is the first step toward recovery.
Can I Sue Infinity Financial?
Yes, you can sue Infinity Financial if you’ve lost money due to the misconduct of the firm or its employees. However, in most cases, you likely signed an agreement that requires disputes to be resolved through a FINRA arbitration proceeding rather than a traditional court lawsuit.
How to Sue Infinity Financial for Investment Losses
Pursuing investment fraud claims against Infinity Financial requires filing a claim through FINRA arbitration, the securities industry’s dispute resolution forum. This process allows investors to present their case before a panel of arbitrators who will decide whether the firm or its advisors engaged in misconduct that caused your losses.
What Can I Do If I Lost Money at Infinity Financial?
The first step is gathering documentation of your losses and the circumstances surrounding your investments. This includes account statements, trade confirmations, prospectuses, and any communications with your advisor. Given Infinity Financial’s documented supervisory failures—including inadequate background checks for new hires and failure to detect pending bankruptcies and tax liens among registered representatives—these issues may have directly contributed to poor investment advice or unsuitable recommendations you received.
FINRA arbitration is often faster and less expensive than traditional litigation. The process typically involves filing a Statement of Claim detailing the misconduct, exchanges of documents, pre-hearing conferences, and ultimately a hearing where both sides present evidence. Most arbitration agreements in your brokerage paperwork do not prevent you from seeking recovery—they simply require you to use this alternative forum instead of court.
Who Can Help Me Sue Infinity Financial?
Securities arbitration requires specialized legal knowledge of FINRA rules, industry standards, and investment products. An experienced investment fraud attorney can evaluate your case, identify which violations occurred, gather expert testimony, and build a compelling presentation to the arbitration panel. The Law Offices of Robert Wayne Pearce has successfully represented numerous investors in claims against independent broker-dealers like Infinity Financial, securing recoveries for losses caused by churning, unsuitable investments, failure to supervise, and other forms of misconduct.
What is Infinity Financial?
Infinity Financial (CRD#144302) is a registered broker-dealer. It operates as a full-service independent broker-dealer, providing a range of financial products and services to individual investors and financial advisors.
As a registered broker-dealer, Infinity Financial is subject to regulations and oversight by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). It is required to comply with industry standards and regulations to ensure the protection of its clients’ interests.
A failure to comply with industry standards by either its brokers or the firm itself can result in disciplinary actions, fines, or other penalties imposed by regulatory authorities.
Infinity Financial In Trouble – Latest News
Yes, Infinity Financial Services continues to face problems in 2024 and 2025. The firm remains under scrutiny from regulatory authorities and continues to receive customer complaints about poor service quality.
Recent developments show ongoing customer dissatisfaction. In 2024 and early 2025, customers have complained about terrible customer service, with one reviewer stating, “My experience with their customer service has been the worst I’ve ever encountered; they simply don’t seem to care about providing quality service.” Infiniti Financial Service Reviews | Read Customer Service Reviews of infinitifinance.com Multiple customers report difficulties with title transfers, payment processing systems being blocked to force phone payments with fees, and general unresponsiveness from the company.
Why Does Infinity Financial Have So Many Bad Reviews and Customer Complaints?
Independent broker-dealers like Infinity Financial often struggle with supervision because of their unique business structure. Unlike traditional brokerage firms with managers and compliance officers working on-site at branch offices, independent broker-dealers operate more like franchises spread across the country.
The registered representatives at these firms typically run their own separate businesses and aren’t direct employees of the broker-dealer. This means they control their own costs and operations to maximize profits, which can leave investor protection as a lower priority. Supervision happens remotely through Offices of Supervisory Jurisdiction (OSJs), where other independent contractors—not full-time compliance staff—monitor representatives from a distance while often running their own businesses simultaneously.
This structure creates serious gaps in oversight. There’s usually no immediate review of new accounts, securities transactions, business records, cash handling, or correspondence. Sales literature and client communications may not be checked daily for misrepresentations or misleading statements. Many offices receive only one compliance audit visit per year, leaving plenty of time for problems to develop undetected.
The North American Securities Administrators Association (NASAA) has documented more instances of sales abuse and investor losses at independent broker-dealers compared to traditional firms with on-site supervision. This documented pattern of problems helps explain why firms like Infinity Financial accumulate regulatory violations and customer complaints.
Examples of Regulatory Problems and Complaints for Infinity Financial
Infinity Financial’s rapid growth has not been without consequences. There have been approximately 3 state and self-regulatory body disclosure events; that is, final and formal proceedings initiated by a regulatory authority (e.g., a state or federal securities agency like the U.S. Securities and Exchange Commission (SEC) or self-regulatory body like the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) for a violation(s) of investment-related rules or regulations.
We have reported and written about these regulatory problems for many years. Infinity Financial is a repeat offender: there are 3 FINRA-reported proceedings citing the firm with one form of supervisory lapses or another.
A Brief Overview of Some of the Complaints and Regulatory Problems Infinity Financial Has Faced Over the Years
Infinity Financial has been repeatedly censured, warned, and fined for its own misconduct and failure to supervise its army of financial advisors. A few of the notable FINRA Sanctions for its Supervisory Failures are below:
Ohio Department of Insurance Fines Infinity Financial for Agent’s Incorrect Answer to Questionnaire
Brief Overview: An Infinity Financial employee applied for a license to operate as an insurance agent in the state of Ohio. Within the application, a question related to past administrative proceedings was incorrectly answered as “no.” The Ohio Department of Insurance believed this to be a violation and, under the applicable code, may refuse a license if the applicant has provided incorrect, misleading, incomplete, or materially untrue information in the application. As a result, the firm was fined.
FINRA Censures and Fines Infinity Financial for Faulty Supervisory System Concerning Background Checks for New Hires
Brief Overview: Without admitting or denying the findings, Infinity Financial consented to the sanctions and to the entry of findings that it failed to establish, maintain, and enforce a supervisory system designed to ensure that the firm conducted required background investigations into the disciplinary histories, financial circumstances, and qualifications of its new hires.
FINRA stated that the firm’s supervisory system and new hire checklist did not include a procedure to conduct searches of public records. Instead, the firm relied upon Google searches and the accuracy of CRD disclosures made by prior employers, and so it recruited registered representatives with reportable disciplinary histories and financial events. Due to the firm’s inadequate background check procedures, the firm hired registered representatives without detecting pending bankruptcies, judgments, and tax liens.
Alabama Fines Infinity Financial for Unregistered Business Activity
Brief Overview: Infinity Financial applied for registration as a broker-dealer in the state of Alabama. The President and CCO provided a statement that no prior securities activity had occurred in Alabama by the firm. However, records provided by a clearing firm reflected two securities transactions effected by Infinity Financial on behalf of an Alabama client. Specifically, trade confirmations reflected securities transactions during the time that the registration application was pending.
The firm was instructed to conduct a recission offer. A consent order was entered into whereby the firm paid to the Alabama Securities Commission partial reimbursement for the commission’s cost for investigating this matter and an administrative assessment through disgorgement of commissions.
How to File an Official Complaint Against Infinity Financial Advisor or One of Its Brokers with FINRA
File a formal complaint against Infinity Financial or one of its brokers by working directly with experienced attorneys who understand FINRA’s arbitration process. These cases can be extremely complex, and so having the support of a reputable attorney who is experienced in recovering investment losses for investors is key to your success. Many customers make the mistake of contacting Infinity Financial without representation with an attorney about their complaints, and have their complaints denied.
Related Read: Can You Sue Your Brokerage Firm?
How The Law Offices of Robert Wayne Pearce, P.A. Can Help You Recover Losses at Infinity Financial
The Law Offices of Robert Wayne Pearce has decades of experience holding firms like Infinity Financial accountable for misconduct, negligence, and supervisory failures that have cost investors millions. We navigate the entire complaint and arbitration process on your behalf—from investigating your claim and gathering evidence to presenting your case before FINRA arbitrators.
Our firm understands the independent broker-dealer business model and the common violations that occur within these structures. We know how to connect documented regulatory failures to the harm you’ve suffered. Attorney Pearce offers free consultations to evaluate your case and explain your legal options without obligation.
Did Infinity Financial Advisor Misconduct Cause You Investment Losses?
If you believe misconduct at Infinity Financial contributed to your investment losses, contact our firm to discuss your case. We evaluate claims involving churning, unsuitable investments, failure to supervise, unauthorized trading, breach of fiduciary duty, and other forms of broker negligence or fraud.
The regulatory violations and supervisory failures documented on this page demonstrate systemic problems at Infinity Financial that may have directly affected your investments. Our firm investigates these connections and builds strong cases for recovery through FINRA arbitration.
Consult With An Attorney Who Recovers Investment Losses Caused By Infinity Financial Today
The investment loss attorneys at The Law Offices of Robert Wayne Pearce, P.A., have helped countless investors over the last 45 years recover the losses from their investment accounts that were caused by broker negligence or misconduct. The firm has extensive experience with Infinity Financial cases, and Attorney Pearce is committed to seeing that those responsible for the losses you have suffered are held fully accountable.
Give us a call at 800-732-2889. Let’s discuss your case and see what we can do to help you get the compensation you need and deserve.
