Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Abn Amro Capital Markets (USA) LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
ABN AMRO Capital Markets (USA) LLC is the U.S. investment banking broker-dealer of ABN AMRO Bank, originating, structuring, and distributing securities in U.S. primary markets for the bank’s corporate and financial institution clients, especially those based in Northwestern Europe. Incorporated in Delaware in 2023 and operating since January 2024, the firm is based on Park Avenue in New York.
Abn Amro Capital Markets (USA) LLC – By the Numbers:
- CRD #: 325235
- Regulatory Events: 1
- Broker Employees: 7
Abn Amro Capital Markets (USA) LLC – In the News:
FINRA v. Abn Amro Capital Markets (USA) LLC (Case #2024080523501) – ABN AMRO Capital violated several interrelated regulatory requirements designed to ensure broker-dealers maintain sufficient liquid resources to meet their financial commitments. Between November 2023 and September 2024, ABN AMRO Capital conducted a securities business on 84 days during which it failed to maintain its required minimum net capital; maintained inaccurate books and records related to its net capital calculations; filed ten inaccurate Financial and Operational Combined Uniform Single (FOCUS) reports; and failed to provide timely required notifications to FINRA and the SEC regarding its net capital deficiencies. Through this conduct, ABN AMRO Capital violated Sections 15(c)(3) and 17(a) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rules 15c3-1, 17a-3, 17a-5, and 17a-11, and FINRA Rules 4110(b)(1), 4511(a), and 2010. For these violations, the firm is censured and fined $50,000.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.