Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Crescent Securities Group, Inc.. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Crescent Securities Group is a broker-dealer that focuses on underwriting private placements and trading government-backed collateralized mortgage obligations, along with securities commissions and sales of investment company shares. Incorporated in Texas in 2001 and based in the Dallas area, the firm is a wholly owned subsidiary of D2 Equity Holdings and serves customers located mostly in Texas.
Crescent Securities Group, Inc. – By the Numbers:
- CRD #: 114993
- Regulatory Events: 2
- Broker Employees: 46
Crescent Securities Group, Inc. – In the News:
FINRA v. Crescent Securities Group, Inc. (Case #2019061634801) – During the period March 2020 through the present, Crescent failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 2121 (Fair Prices and Commissions). Therefore, Crescent violated FINRA Rules 3110(a) and (b) 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.