Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as BMO Capital Markets Corp.. 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.
BMO Capital Markets Corp. is the U.S. broker-dealer of Bank of Montreal, providing advice on mergers and acquisitions, debt and equity underwriting, and brokerage and market making in equities, options, fixed income, currencies, and commodities for corporate and institutional clients. Operating mainly from New York City and Chicago with offices in more than a dozen states and Toronto, the firm is a primary dealer in U.S. government securities.
BMO Capital Markets Corp. – By the Numbers:
- CRD #: 16686
- Regulatory Events: 46
- Broker Employees: 1,105
BMO Capital Markets Corp. – Investment Advisors:
- SEC #: 73047
- Assets Under Management: $1,210,751,477
- ADV Form Employee: 1,275
BMO Capital Markets Corp. – In the News:
FINRA v. BMO Capital Markets Corp. (Case #2022077148301) – From January 2021 through June 2025, BMO CMC failed to timely report approximately 2,400 securities transactions and inaccurately reported approximately 323,000 securities transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE), violating FINRA Rules 6730 and 2010. During that period, BMO CMC failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), that was reasonably designed to achieve compliance with TRACE reporting obligations, violating FINRA Rules 3110 and 2010. For these violations, BMO CMC is censured and fined $300,000.
FINRA v. BMO Capital Markets Corp. (Case #2017055668501) – In the period January 9, 2017 through August 15, 2017, BMO failed to transmit ROEs to OATS. As a result, the firm violated FINRA Rules 7450 and 2010. In the period October 1, 2017 through December 31, 2018, BMO failed to make publicly available all accurate and complete information in quarterly reports required in order to comply with Rule 606 of Regulation NMS (“Rule 606”). As a result, the firm violated Rule 606 and FINRA Rule 2010. In the period January 9, 2017 through April 29, 2019, BMO failed to establish, maintain and enforce a supervisory system, including written supervisory procedures (“WSPs”), reasonably designed to achieve compliance with applicable federal securities laws and FINRA rules. As a result, the firm violated FINRA Rules 3110 and 2010.
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.