Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as BTIG, LLC. 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.
BTIG is a global financial services firm that specializes in institutional equity and fixed income sales and trading, investment banking, research, prime brokerage, and outsourced trading for institutional investors and corporations. Founded in 2002 in San Francisco, the firm operates in about 20 cities across the United States, Europe, Asia, and Australia and is a subsidiary of U.S. Bancorp following an acquisition agreed in 2026.
BTIG, LLC – By the Numbers:
- CRD #: 122225
- Regulatory Events: 12
- Broker Employees: 490
BTIG, LLC – In the News:
FINRA v. BTIG, LLC (Case #2023079613601) – Between at least January 2020 and July 2024, BTIG failed to reasonably supervise its employees’ use of unapproved communications platforms for business purposes and failed to preserve business-related communications sent and received through unapproved platforms by more than 50 current and former firm employees, including members of senior management. As a result, the firm violated Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110(a), and 2010. For these violations, the firm is censured and fined $600,000.
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.