Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Bradley Woods & Co. Ltd.. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Bradley Woods and Company is a brokerage firm that provides public policy and issuer research and acts as agent for retail investors in equity securities, exchange-traded funds, fixed income securities, and private placements. Formed in Delaware in 2004, the firm is based on Third Avenue in New York City.
Bradley Woods & Co. Ltd. – By the Numbers:
- CRD #: 13660
- Regulatory Events: 1
- Broker Employees: 35
Bradley Woods & Co. Ltd. – In the News:
FINRA v. Bradley Woods & Co. Ltd. (Case #2018056458801) – Between October 2015 and January 2018, Bradley Woods and Ripp failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA’s rules concerning outside business activities (OBAs), in violation of FINRA Rules 3110 and 2010. Bradley Woods and Ripp also failed to (1) reasonably and timely review, and evidence the review of, OBAs that the firm’s representatives engaged in and disclosed, in violation of FINRA Rules 3270 and 2010, and (2) timely amend five representatives’ Uniform Applications for Securities Industry Registration or Transfer (Forms U4) to disclose eight OBAs, in violation of Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rule 2010. Between January 2017 and January 2018, Bradley Woods and Ripp failed to establish and maintain a supervisory system, including WSPs, reasonably designed to achieve compliance with its due diligence and filing obligations for private placements, in violation of FINRA Rules 3110 and 2010. Bradley Woods and Ripp also failed to submit required offering documents to FINRA within 15 calendar days of the date of first sale for three private placements, in violation of FINRA Rules 5123 and 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.