Securities Lawyers Blog
Retirement savers who have suffered IRA investment losses or other retirement account losses often have claims they are not aware of. Brokerage firms such as Arbor Research & Trading, LLC owe their customers a duty of care, and a breach of fiduciary duty, a breach of contract, or negligent supervision of a financial advisor can make a firm liable for the resulting losses. The investment loss lawyers at Gana Weinstein LLP represent retirees and other investors in FINRA arbitration claims to recover those losses.
Arbor Research and Trading is an institutional broker-dealer that executes trades in United States and foreign fixed income securities and foreign exchange and provides macroeconomic research, quantitative analytics and market commentary, including Bianco Research and The King Report. Established in 1987 and headquartered in Lake Barrington, Illinois, the firm serves portfolio managers and traders worldwide.
Arbor Research & Trading, LLC – By the Numbers:
- CRD #: 21313
- Regulatory Events: 2
- Broker Employees: 19
Arbor Research & Trading, LLC – In the News:
FINRA v. Arbor Research & Trading, LLC (Case #2017052227601) – From August 2014 through January 2017 (the “Relevant Period”), Arbor was a broker-dealer with market access and that provided customers with access to an alternative trading system (ATS), but failed to establish, document, and maintain a system of risk management controls and supervisory procedures reasonably designed to manage the financial, regulatory, and other risks of this business activity. Through this conduct, Arbor violated Section 15(c)(3) of the Securities and Exchange Act of 1934; SEA Rule 15c3-5(b), (c)(1) and (2), and (e); and FINRA Rule 2010. Arbor’s conduct also violated MSRB Rule G-27.
Brokerage firms are responsible for supervising the financial advisors they employ. If you believe a broker at Arbor Research & Trading, LLC caused your investment losses, Gana Weinstein LLP can help you evaluate a FINRA claim against the broker and the firm. Our consultations are free.