Securities Lawyers Blog
Can I sue my brokerage firm? Investors with accounts at DAI Securities, LLC ask the investment dispute attorneys at Gana Weinstein LLP that question when their losses do not match the market. In most cases the answer runs through FINRA arbitration, where claims for unsuitable investments, negligence, and failure to supervise are heard. Our attorneys can review your accounts, explain your options, and pursue a FINRA arbitration claim against the brokerage firm when the facts support one.
DAI Securities is a broker-dealer that offers equities, corporate and government bonds, mutual funds, variable annuities and private placements to clients of its affiliated wealth management business. Organized in Minnesota in 2019 and headquartered in Atlanta, the firm is owned by DAI Holdings, is affiliated with the DAI Wealth advisory business, and is registered in all 50 states.
DAI Securities, LLC – By the Numbers:
- CRD #: 36673
- Regulatory Events: 2
- Broker Employees: 99
DAI Securities, LLC – In the News:
FINRA v. DAI Securities, LLC (Case #2018060895201) – Between May 14, 2018, and June 29, 2018, DAI Securities negligently failed to inform four investors in an offering related to GPB Capital Holdings, LLC (GPB Capital) that the issuer failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. By virtue of the foregoing, DAI Securities violated FINRA Rule 2010.
FINRA disciplinary actions against a brokerage firm rarely tell the whole story of how customers were affected. If you were a customer of DAI Securities, LLC during the periods described above, the FINRA attorneys at Gana Weinstein LLP can determine whether you have a claim. Our consultations are free.