Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Andbanc Brokerage, LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Andbanc Brokerage is a broker-dealer that offers cash and margin brokerage accounts and executes trades in stocks, bonds, mutual funds, ETFs, options, and structured products for retail, non-retail, and private banking customers, clearing through Pershing. Formed in Florida in 2010 and based in Miami, the firm is the United States brokerage arm of Andbank, an Andorra-based banking group founded in 1930 with subsidiaries across Europe and the Americas.
Andbanc Brokerage, LLC – By the Numbers:
- CRD #: 155979
- Regulatory Events: 1
- Broker Employees: 22
Andbanc Brokerage, LLC – In the News:
FINRA v. Andbanc Brokerage, LLC (Case #2015046459601) – In Matter No. 20150464596, the Department of Market Regulation reviewed the firm’s compliance with rules regarding the reporting of transactions in eligible Corporate Debt Securities to the Trade Reporting and Compliance Engine (“TRACE”) during the period of April 11, 2012 through March 31, 2015. During the review period, the firm failed to report 578 transactions in TRACE-eligible Corporate Debt Securities that it was required to report, in violation of FINRA Rule 6730(b), and had related supervisory deficiencies, in violation of NASD Rule 3010 and FINRA Rules 3110 and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.