Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as DMK Advisor 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.
DMK Advisor Group is a dually registered broker-dealer and investment adviser that provides traditional brokerage, wealth management, portfolio monitoring and financial planning covering stocks, bonds, mutual funds and ETFs. Organized in Colorado in 1996 and now headquartered in Lutz, Florida, the firm serves individuals, high net worth families, trusts, estates, corporations and retirement plans.
DMK Advisor Group, Inc. – By the Numbers:
- CRD #: 41067
- Regulatory Events: 5
- Broker Employees: 38
DMK Advisor Group, Inc. – Investment Advisors:
- SEC #: 121389
- Assets Under Management: $130,803,725
- ADV Form Employee: 38
DMK Advisor Group, Inc. – In the News:
FINRA v. DMK Advisor Group, Inc. (Case #2021069380201) – From June 30, 2020, to June 15, 2022, DMK failed to establish, maintain, and enforce a supervisory system, including WSPs, reasonably designed to achieve compliance with Exchange Act Rule 17a-14, which required the firm to timely prepare, file, and deliver its Form CRS to retail customers by July 30, 2020. DMK also failed to deliver its Form CRS to certain of its customers until October 2022. DMK therefore willfully violated Section 17(a)(1) of the Exchange Act and Rule 17a-14 thereunder and violated FINRA Rules 3110 and 2010. DMK also failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with Exchange Act Rule 15l-1 (Regulation Best Interest or Reg BI). As a result, DMK violated Exchange Act Rule 15l-1 and FINRA Rules 3110 and 2010.
FINRA disciplinary actions against a brokerage firm rarely tell the whole story of how customers were affected. If you were a customer of DMK Advisor Group, Inc. during the periods described above, the FINRA attorneys at Gana Weinstein LLP can determine whether you have a claim. Our consultations are free.