Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Benchmark Securities LLC, were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
Benchmark Securities is an independent broker-dealer specializing in the fixed income markets, making markets in municipal, corporate, and government bonds for issuers, professional investors, and other dealers. Established in 2012, the firm is headquartered in Winter Park, Florida.
Benchmark Securities LLC – By the Numbers:
- CRD #: 159940
- Regulatory Events: 2
- Broker Employees: 16
Benchmark Securities LLC – In the News:
FINRA v. Benchmark Securities LLC (Case #2016047564601) – During the time period from February 2013 through September 2014 (the “Relevant Time Period”), Benchmark violated MSRB Rules G-17, G-20 and G-27 by: (1) while acting as the lead underwriter for negotiated municipal deals, the firm gave multiple gifts to representatives of municipal issuers in excess of $100 during rolling one-year time periods; and (2) failing to establish and maintain a supervisory system reasonably designed to monitor the aggregation of gifts/gratuities and entertainment received by individual recipients over time.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.