Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as BTG Pactual US Capital, 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.
BTG Pactual US Capital is a broker-dealer and introducing broker that executes trades in United States and international securities for customers, acts as underwriter and placement agent in capital markets transactions, and provides mergers and acquisitions advisory services. Formed in Delaware in 2009 and operating as a broker-dealer since December of that year, the firm is based at 601 Lexington Avenue in New York and is part of the Brazilian BTG Pactual group, clearing Brazilian trades through affiliate Banco BTG Pactual.
BTG Pactual US Capital, LLC – By the Numbers:
- CRD #: 149486
- Regulatory Events: 2
- Broker Employees: 145
BTG Pactual US Capital, LLC – In the News:
FINRA v. BTG Pactual US Capital, LLC (Case #2020065115301) – Between January 2018 and November 2022, BTG violated FINRA Rules 3310(a), 3310(f), and 2010 by failing to establish and implement policies and procedures for its anti-money laundering (AML) compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions. Among other things, the firm’s policies and procedures did not reasonably address how the firm’s AML monitoring of customers’ wire transfer requests, both pre- and post-approval, would be performed and documented. As a result, BTG is censured and fined $400,000.
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.