Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Cross Point Capital LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
Cross Point Capital is a middle-market broker-dealer that trades and sells municipal securities, brokers private placements, advises on structuring and placing securitizations of asset-backed vehicles, and provides financial consulting including auction rate securities services. Organized in Delaware in 2005, the firm operates from locations in New Jersey and North Carolina along with an office in New York.
Cross Point Capital LLC – By the Numbers:
- CRD #: 136223
- Regulatory Events: 1
- Broker Employees: 8
Cross Point Capital LLC – In the News:
FINRA v. Cross Point Capital LLC (Case #2016047671801) – From January 1, 2014 through December 31, 2015 (the “Relevant Period”), Cross Point inaccurately reported 45 municipal securities transactions to the Municipal Securities Rulemaking Board’s (“MSRB”) Real-Time Transaction Reporting System (“RTRS”), in violation of MSRB Rule G-14. Also during the Relevant Period, the Firm violated MSRB Rule G-27 by failing to perform a periodic review of the Firm’s reporting to the RTRS, as required by the Firm’s written supervisory procedures.
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.