Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Dash Financial Technologies LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
DASH Financial Technologies is a broker-dealer and trading technology provider that specializes in options execution, routing, and order management for buy-side and sell-side clients, aiming to improve execution quality and transparency. Formed in Delaware in 2001, the firm was owned by Flexpoint Ford from 2018 and was acquired by ION Investment Group in 2021, becoming part of the markets division of ION.
Dash Financial Technologies LLC – By the Numbers:
- CRD #: 104031
- Regulatory Events: 69
- Broker Employees: 47
Dash Financial Technologies LLC – In the News:
FINRA v. Dash Financial Technologies LLC (Case #2016051474801) – During the period of July 23, 2012 through May 31, 2017 (the “review period”), Dash transmitted to OATS over one billion inaccurate Reportable Order Events (“ROEs”), primarily due to the failure to append the “directed” special handling code to directed orders. A ROE is a record of events in the life cycle of an order, such as order receipt, order cancellation, and order execution. Due to deficiencies in the firm’s supervisory system, the firm’s OATS violations went undetected until identified by FINRA staff. By virtue of the foregoing, the firm violated FINRA Rule 7450, NASD Rule 3010 (prior to December 1, 2014), FINRA Rule 3110 (beginning December 1, 2014), and FINRA Rule 2010.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.