Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Blaylock Van, LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Blaylock Van is a broker-dealer firm that was registered in the United States securities industry. The firm was formed in California in 2007.
Blaylock Van, LLC – By the Numbers:
- CRD #: 145317
- Regulatory Events: 2
- Broker Employees: 48
Blaylock Van, LLC – In the News:
FINRA v. Blaylock Van, LLC (Case #2017054852001) – From October 2016 through June 2021, Blaylock failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to detect and prevent pre-arranged trading, a form of manipulative trading. Through this conduct, the firm violated Municipal Securities Rulemaking Board (MSRB) Rule G-27.
FINRA v. Blaylock Van, LLC (Case #2015043759501) – During a period of January 2014 through October 2015, Blaylock filed eight quarterly Forms G-37 with the Municipal Securities Rulemaking Board (“MSRB”) that omitted required information about the municipal issuers with which the Firm had done business in the prior quarter.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.