Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Cabrera Capital Markets, LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Cabrera Capital Markets is an investment bank and broker-dealer whose business includes taxable fixed income activities. Privately owned and headquartered at 227 West Monroe Street in Chicago, Illinois, the firm is led by chief executive Martin Cabrera.
Cabrera Capital Markets, LLC – By the Numbers:
- CRD #: 10081
- Regulatory Events: 4
- Broker Employees: 68
Cabrera Capital Markets, LLC – In the News:
FINRA v. Cabrera Capital Markets, LLC (Case #2015043640701) – Between August of 2012 and October of 2013, Cabrera was lead underwriter on five municipal bond issuances. For each issuance, Cabrera failed to maintain documentation to evidence that adequate due diligence was conducted in relation to the offerings. During the same time period, Cabrera’s written supervisory procedures were not reasonably designed to achieve compliance with rules governing due diligence obligations for its municipal securities transactions. Between February and May of 2014, Cabrera failed to timely register as a municipal advisor, failed to timely update registrations for individuals involved in its municipal advisory business, and had written supervisory procedures pertaining to its municipal advisory business that were not reasonably designed to maintain compliance with the applicable regulations for a municipal advisory business.
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.