Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Baker Tilly Capital, 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.
Baker Tilly Capital is a limited purpose broker-dealer that provides investment banking services, including mergers and acquisitions advisory, project finance structuring and advisory, and New Markets Tax Credit work that helps community development entities and businesses obtain allocations and funding. Formed as a Wisconsin limited liability company and based in Madison, Wisconsin, the firm is owned by Baker Tilly Advisory Group, which took over the business from Baker Tilly US in May 2024.
Baker Tilly Capital, LLC – By the Numbers:
- CRD #: 115333
- Regulatory Events: 1
- Broker Employees: 26
Baker Tilly Capital, LLC – In the News:
FINRA v. Baker Tilly Capital, LLC (Case #2019063881901) – In 2019, BTC permitted material changes to the terms of two related private placement offerings without terminating the offerings and returning funds to investors. Therefore, BTC willfully violated Exchange Act Rule 10b-9 and FINRA Rule 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.