Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Clearview Trading Advisors, Inc.. 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.
Clearview Trading Advisors is a broker-dealer that provides consulting based on technical analysis of equities along with investment banking services, including private placements and advisory work. Incorporated in New York in 2006, the firm is based on Park Avenue in New York City and clears customer transactions through a clearing broker on a fully disclosed basis.
Clearview Trading Advisors, Inc. – By the Numbers:
- CRD #: 142873
- Regulatory Events: 1
- Broker Employees: 4
Clearview Trading Advisors, Inc. – In the News:
FINRA v. Clearview Trading Advisors, Inc. (Case #2019064126802) – From August 2018 to March 2019, Clearview and Ettin, the firm’s AMLCO, failed to establish and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious activity. Therefore, Clearview and Ettin violated FINRA Rules 3310(a) and 2010. During the same period, Clearview and Ettin, who was responsible for reviewing and approving customer deposits and sales of restricted securities under the firm’s Written Supervisory Procedures (WSPs), failed to establish and maintain a supervisory system, including WSPs, reasonably designed to achieve compliance with Section 5 of the Securities Act of 1933. Therefore, Clearview and Ettin violated FINRA Rules 3110(a), 3110(b), and 2010.
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.