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 Cohen & Company Securities, 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.
Cohen and Company Securities is a securities broker-dealer. The firm was formed in Delaware in 2008.
Cohen & Company Securities, LLC – By the Numbers:
- CRD #: 149758
- Regulatory Events: 6
- Broker Employees: 99
Cohen & Company Securities, LLC – In the News:
FINRA v. Cohen & Company Securities, LLC (Case #2015047526601) – From July 2013 through December 2015 (the “Relevant Period”), JVB failed to establish, document, and maintain a system of risk management controls and supervisory procedures reasonably designed to manage the financial, regulatory, and other risks associated with market access, in violation of Section 15(c)(3) of the Securities and Exchange Act of 1934, Exchange Act Rule 15c3-5 thereunder, and FINRA Rule 2010.
FINRA v. Cohen & Company Securities, LLC (Case #2016050967801) – In Matter No. 20160509678, FINRA staff reviewed the firm’s compliance with TRACE reporting requirements concerning securitized products during the period from April 1, 2016 through June 30, 2016 (the “review period”). During the review period the firm violated FINRA Rules 6730 and 2010.
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.