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 CIBC World Markets Corp., 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.
CIBC World Markets Corp. is the U.S. broker-dealer of Canadian Imperial Bank of Commerce, focused on investment banking and global markets activities including securities sales, trading, syndication, and underwriting, along with financial advisory services offered under the CIBC Cleary Gull brand. Headquartered in New York and registered as a broker-dealer since 1975, the firm is an indirect wholly owned subsidiary of CIBC.
CIBC World Markets Corp. – By the Numbers:
- CRD #: 630
- Regulatory Events: 76
- Arbitration Events: 86
- Broker Employees: 513
CIBC World Markets Corp. – In the News:
FINRA v. CIBC World Markets Corp. (Case #2022075778501) – Between April 2019 and September 2025, CIBC failed to report or inaccurately reported 7,501 over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system in 1,418,430 instances, in violation of FINRA Rules 2360(b)(5) and 2010. Between April 2019 and July 2025, the firm also failed to maintain and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with FINRA Rule 2360 in violation of FINRA Rules 3110 and 2010. For these violations, CIBC is censured and fined $425,000.
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.