Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Brentwood Capital Advisors LLC, were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
Brentwood Capital Advisors is a partner-owned investment bank that advises on mergers, acquisitions, corporate divestitures, and capital raising for growth-oriented middle-market companies in healthcare, technology, and tech-enabled services. Formed in Tennessee in 1999, the firm is headquartered in Franklin, Tennessee and works with clients nationally.
Brentwood Capital Advisors LLC – By the Numbers:
- CRD #: 118712
- Regulatory Events: 1
- Broker Employees: 23
Brentwood Capital Advisors LLC – In the News:
FINRA v. Brentwood Capital Advisors LLC (Case #2023077012601) – Between January 2021 and December 2025, Brentwood failed to establish and implement an anti-money laundering (AML) compliance program reasonably designed to identify and verify the identities of the beneficial owners of its legal entity customers, in violation of FINRA Rules 3310(b) and 2010. Between January 2018 and January 2024, Brentwood failed to establish and implement a written AML compliance program that provided for annual (on a calendar-year basis) independent AML testing, and the firm conducted no independent AML testing between 2018 and 2023, in violation of FINRA Rules 3310(c) 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.