Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Bruce A. Lefavi Securities, Inc.. 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.
Bruce A. Lefavi Securities is a broker-dealer that provides securities brokerage services on a commission basis and serves as the affiliated broker-dealer for an investment advisory practice whose advisory trades it executes. Incorporated in Utah in 1980, the firm is based in Salt Lake City.
Bruce A. Lefavi Securities, Inc. – By the Numbers:
- CRD #: 10684
- Regulatory Events: 2
- Broker Employees: 5
Bruce A. Lefavi Securities, Inc. – In the News:
FINRA v. Bruce A. Lefavi Securities, Inc. (Case #2015043353301) – In 2014, Respondent sent to certain customers four communications relating to REITs (Real Estate Investment Trusts) and BDCs (Business Development Companies) that violated the content standards of FINRA Rule 2210 and FINRA Rule 2010. In addition, during the period July 2013 through December 2014, Respondent did not establish and maintain a supervisory system and procedures reasonably designed to ensure that advisory products and services offered to, and related charges paid by, its customers were reasonable and appropriate in violation of NASD Rules 3010(a) and 3010(b) (for the period prior to December 1, 2014), FINRA Rules 3110(a) and 3110(b) (for the period subsequent to November 30, 2014), 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.