Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Elevation, LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Elevation is a FINRA member broker-dealer that operates under the Elevation Securities name. Established in 2006 and headquartered on Carnegie Boulevard in Charlotte, North Carolina, the firm is owned by a combination of a domestic entity and an individual.
Elevation, LLC – By the Numbers:
- CRD #: 140341
- Regulatory Events: 7
- Broker Employees: 24
Elevation, LLC – In the News:
FINRA v. Elevation, LLC (Case #2016049229501) – From January 2016 through April 2022, Elevation failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with applicable federal securities laws and FINRA rules prohibiting fraudulent trading, including spoofing, layering and wash trades, in equity securities, in violation of FINRA Rules 3110 and 2010.
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.