Securities Lawyers Blog
Many investors who have lost money with a broker at Andrew Garrett Inc. wonder whether they can recover their investment losses and how long they have to act. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration, the forum where most claims against brokerage firms and stockbrokers are decided. Our attorneys can explain the FINRA arbitration process, the time limits that apply to your claim, and the damages that may be recovered.
Andrew Garrett is a broker-dealer and investment adviser that provides retail brokerage, investment advisory services, annuities, mutual funds and merger and acquisition advisory services. The firm began operating in 1992 and is headquartered on Park Avenue in New York City.
Andrew Garrett Inc. – By the Numbers:
- CRD #: 29931
- Regulatory Events: 15
- Broker Employees: 30
Andrew Garrett Inc. – Investment Advisors:
- SEC #: 71581
- Assets Under Management: $521,347,399
- ADV Form Employee: 14
Andrew Garrett Inc. – In the News:
FINRA v. Andrew Garrett Inc. (Case #2015043325601) – During the period June 17, 2013 to May 27, 2015 (the “Relevant Period”), Andrew Garrett charged customers excessive commissions on approximately 128 equity transactions. As a result, the Firm violated NASD Conduct Rule 2440 and NASD IM-2440-1 (for conduct before May 9, 2014), and FINRA Rules 2121 (for conduct on or after May 9, 2014) and 2010.
Investors who believe they were the victim of broker misconduct or financial advisor negligence at Andrew Garrett Inc. should act promptly, because FINRA arbitration claims are subject to time limits. Contact the securities arbitration lawyers at Gana Weinstein LLP for a free consultation.