Securities Lawyers Blog
Stockbroker fraud and financial advisor negligence cost investors billions of dollars every year. The stockbroker fraud attorneys at Gana Weinstein LLP represent investors in FINRA arbitration claims involving misrepresentation, omissions, excessive commissions, and overconcentration of investment portfolios, including claims by customers of firms such as EarlyBirdCapital, Inc. We can determine whether your investment losses were caused by misconduct and what damages may be recovered.
EarlyBirdCapital is a boutique investment bank specializing in underwriting initial public offerings of special purpose acquisition companies, along with private placements, mergers and acquisitions advisory and capital raising for emerging companies. Based in the New York area with offices in Manhattan and Melville, the firm has advised and underwritten more than 200 transactions.
EarlyBirdCapital, Inc. – By the Numbers:
- CRD #: 28629
- Regulatory Events: 3
- Arbitration Events: 1
- Broker Employees: 18
EarlyBirdCapital, Inc. – In the News:
FINRA v. EarlyBirdCapital, Inc. (Case #2021069368901) – From May 2017 to April 2021, EarlyBird filed inaccurate and untimely Financial and Operational Combined Uniform Single (FOCUS) reports and maintained inaccurate books and records regarding its aggregate indebtedness and net capital, in violation of Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. From May 2017 to September 2022, EarlyBird failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with the Exchange Act rules relating to net capital, FOCUS reports, and required books and records, in violation of FINRA Rules 3110 and 2010.
Gana Weinstein LLP represents investors in disputes over stock market investment losses, unsuitable investments, and failure to supervise at firms across the country, including customers of EarlyBirdCapital, Inc. Call us for a free consultation and a candid assessment of your claim.