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 Bolton Global Capital, 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.
Bolton Global Capital is an independent broker-dealer that provides wealth management capabilities to financial advisors and their clients, specializing in giving Latin American and European investors access to United States and global financial markets. Founded in 1985 and formed in Massachusetts, the firm serves both international and domestic clients.
Bolton Global Capital – By the Numbers:
- CRD #: 15650
- Regulatory Events: 11
- Arbitration Events: 3
- Broker Employees: 185
Bolton Global Capital – In the News:
FINRA v. Bolton Global Capital (Case #2021072622201) – From October 2020 to October 2021, Bolton failed to establish and maintain a supervisory system reasonably designed to safeguard customer records and information in violation of Rule 30(a) of Regulation S-P of the Securities Exchange Act of 1934 (17 C.F.R. § 248.30(a)) (the Safeguards Rule) and FINRA Rule 2010.
FINRA v. Bolton Global Capital (Case #2016049481101) – In Review No. 20160494811, the Fixed Income Investigations Team of the Department of Market Regulation at FINRA (the “staff”) conducted a review of the firm’s pricing of corporate bond transactions during the period October 1, 2015 through December 31, 2015 (the “review period”). As a result of the aforementioned review, the staff determined that the firm violated FINRA Rules 2010, 2121, and 3110.
FINRA v. Bolton Global Capital (Case #2015043276901) – Between January 2014 and July 2016, at least 25 Bolton representatives used various systems to prepare and distribute consolidated reports to customers, some of which allowed the manual entry of account information and asset values. During this period, the Firm had no written supervisory procedures governing consolidated reports, no system to detect their use, and no system or method to review them for accuracy, and it did not require representatives to retain copies of the reports or the documentation supporting manually entered values. By failing to adequately supervise the creation and dissemination of consolidated reports, Bolton violated NASD Rule 3010, FINRA Rule 3110, and FINRA Rule 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.