Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as D. Boral Capital. 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.
D. Boral Capital is an investment bank and broker-dealer that provides advisory, capital raising, institutional sales, research, and structured products services, with a focus on middle market and early-stage growth companies in all sectors worldwide. Formerly known as EF Hutton and renamed in November 2024, the firm is headquartered on Madison Avenue in New York and reports raising about 23 billion dollars for issuers across roughly 300 transactions since 2020, with access to investors in the United States, Asia, Europe, the United Arab Emirates, and Latin America.
D. Boral Capital – By the Numbers:
- CRD #: 103792
- Regulatory Events: 2
- Broker Employees: 33
D. Boral Capital – In the News:
FINRA v. D. Boral Capital (Case #2022074783101) – Between July 2020 and May 2024, D. Boral Capital conducted a securities business on 96 days while failing to maintain the firm’s minimum required net capital. As a result, the firm violated Securities Exchange Act Section 15(c)(3), Exchange Act Rule 15c3-1, and FINRA Rules 4110(b)(1) and 2010. From July 2020 through May 2024, the firm failed to establish and maintain written supervisory procedures reasonably designed to achieve compliance with net capital requirements. As a result, the firm violated FINRA Rules 3110 and 2010. From April 2022 through November 2023, in connection with its participation in public offerings, the firm failed to file or timely file certain required corporate offering filings. As a result, the firm violated FINRA Rules 5110 and 2010. For these violations, the firm is censured and fined $125,000.
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.