Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Corporate Investments Group, Inc., were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
Corporate Investments Group is a broker-dealer that offers online and retail trading of equities, options and mutual funds, private placements and fixed insurance products, operating under the online brand 488trade. Incorporated in Illinois in 1995, the firm is based in the Chinatown neighborhood of Chicago.
Corporate Investments Group, Inc. – By the Numbers:
- CRD #: 38690
- Regulatory Events: 5
- Arbitration Events: 2
- Broker Employees: 7
Corporate Investments Group, Inc. – In the News:
FINRA v. Corporate Investments Group, Inc. (Case #2014039217501) – Corporate Investments Group, Inc. (CIG) prepared an inaccurate general ledger, trial balance, and net capital computation in its FOCUS report for the period ending March 31, 2014, in violation of SEC Exchange Act Rules 17a-3 and 17a-5 and FINRA Rule 4511. It failed to evidence an adequate review of disclosed outside business activities for two registered representatives in 2014, in violation of FINRA Rule 3270; failed to evidence supervision of representative websites from October to December 2013, in violation of NASD Rule 3010(b); and prepared deficient written branch inspection reports in 2013, in violation of NASD Rule 3010(c).
Our broker misconduct attorneys have successfully pursued FINRA arbitration claims against brokerage firms large and small. If your financial advisor at Corporate Investments Group, Inc. lost your money, contact Gana Weinstein LLP for a free, no obligation consultation.