Securities Lawyers Blog
How long does FINRA arbitration take? How much does FINRA arbitration cost? What damages can I recover in FINRA arbitration? Investors with losses at firms such as BCP Securities, Inc. ask the securities arbitration lawyers at Gana Weinstein LLP these questions before deciding whether to file a FINRA claim. Our attorneys answer them in a free consultation, explain how long you have to file FINRA arbitration, and tell you candidly whether your case is worth pursuing.
BCP Securities is a fixed income broker-dealer that specializes in emerging market bonds, providing sales and trading, new issue distribution, capital markets and investment banking services with a focus on Latin America and Turkey. Founded in 1989 and headquartered in Greenwich, Connecticut, the firm also maintains offices in Sao Paulo and Istanbul.
BCP Securities, Inc. – By the Numbers:
- CRD #: 27063
- Regulatory Events: 2
- Broker Employees: 47
BCP Securities, Inc. – In the News:
FINRA v. BCP Securities, Inc. (Case #2023077062701) – From December 2018 to April 2024, BCP engaged in the publication of equity research reports (approximately 300 during that period) prior to obtaining approval from FINRA to engage in such activity, in violation of NASD Rule 1017 and FINRA Rules 1017 and 2010. BCP also permitted four registered representatives to perform research activities even though they lacked the requisite registration qualifications, in violation of FINRA Rules 1210 and 2010. In addition, BCP’s supervisory system was not reasonably designed to achieve compliance with FINRA registration requirements, in violation of FINRA Rules 3110 and 2010. For these violations, BCP is censured and fined $85,000.
Investors who believe they were the victim of broker misconduct or financial advisor negligence at BCP Securities, 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.