Securities Lawyers Blog
The attorneys at Gana Weinstein LLP represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Bay Crest Partners, LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
Bay Crest Partners is a boutique institutional broker-dealer that provides liquidity and execution in equities, equity options and derivatives, fixed income, and energy and commodities markets, along with private placement capital solutions and market research. Established in 1993 and headquartered at 40 Wall Street in New York, the firm also has offices in Miami, Houston and Austin and facilitates more than one trillion dollars in annual securities transactions.
Bay Crest Partners, LLC – By the Numbers:
- CRD #: 39944
- Regulatory Events: 16
- Broker Employees: 98
Bay Crest Partners, LLC – In the News:
FINRA v. Bay Crest Partners, LLC (Case #2017053082701) – The firm failed to properly qualify and register its Chief Compliance Officer (“CCO”) as a Securities Trader Principal, failed to implement reasonably designed market access controls, and failed to publish accurate information about its order routing practices. As a result, the firm violated NASD Rule 1022(a)(6), Rules 15c3-5 and 606, which the SEC promulgated under the Securities Exchange Act of 1934 (“Rule 15c3-5” and “Rule 606”), FINRA Rule 2010, and related supervisory requirements, during the period December 17, 2016 through June 1, 2018 (the “review period”).
Gana Weinstein LLP represents individuals, families, and institutions in securities arbitration and litigation against brokerage firms. If you suspect churning, excessive commissions, unauthorized trading, or other misconduct in your Bay Crest Partners, LLC account, our consultations are free and confidential.