Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Builder Advisor Group, LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
Builder Advisor Group is a broker-dealer and investment bank focused on the homebuilding industry, providing merger and acquisition advisory, private placement, capital raising, and debt restructuring services. Based in Corte Madera, California, and owned by Efficient Builder Technology, the firm reports advising on more than 50 homebuilder transactions valued at over $8 billion and raising more than $10 billion in debt and equity for public and private homebuilders.
Builder Advisor Group, LLC – By the Numbers:
- CRD #: 156515
- Regulatory Events: 1
- Broker Employees: 8
Builder Advisor Group, LLC – In the News:
FINRA v. Builder Advisor Group, LLC (Case #2023077030601) – From January 2020 through January 2024, Builder Advisor Group failed to establish and implement procedures reasonably designed to identify and verify the identities of the beneficial owners of its legal entity customers at the time of new client engagements, in violation of FINRA Rules 3310(b) and 2010. The firm also failed to conduct independent testing of its anti-money laundering (AML) compliance program that was required before the end of 2022, in violation of FINRA Rules 3310(c) and 2010. The firm has consented to the imposition of a censure and a $30,000 fine.
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.