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 Bmi Capital International 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.
BMI Capital International is a broker-dealer that operates as an investment bank and placement agent, facilitating capital raises and private placements for its clients. Formed in Texas in 2012, the firm is based in New York City.
Bmi Capital International LLC – By the Numbers:
- CRD #: 154670
- Regulatory Events: 1
- Broker Employees: 9
Bmi Capital International LLC – In the News:
FINRA v. Bmi Capital International LLC (Case #2023076998201) – On 64 days between June 2022 and May 2023, BMI conducted a securities business while failing to maintain its minimum required net capital, in violation of Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-1, and FINRA Rules 4110(b)(1) and 2010. During the same period, the firm prepared and maintained inaccurate net capital-related books and records, and in April 2023, filed an inaccurate quarterly Financial and Operational Combined Uniform Single (FOCUS) Report, in violation of Exchange Act § 17(a), Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. For these violations, the firm is censured and fined $15,000.
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.