Securities Lawyers Blog
Gana Weinstein LLP is a securities law firm that represents investors in investment disputes with brokerage firms and financial advisors, including customers of Enclave Capital LLC. Our practice covers the full range of investor claims, from unsuitable investments, margin losses, and options trading losses to breach of fiduciary duty and failure to supervise. If your financial advisor lost your money, our FINRA lawyers can determine whether the losses were the result of misconduct and whether a claim against the brokerage firm is available.
Enclave Capital is a broker-dealer that focuses on private placements and capital raising for companies, along with brokerage of over-the-counter equities, corporate debt and listed securities. Formed in Delaware in 1995 and headquartered on Brickell Avenue in Miami, the firm has acted as placement agent for public and private issuers and also does business as Enclave Securities NY.
Enclave Capital LLC – By the Numbers:
- CRD #: 22732
- Regulatory Events: 3
- Broker Employees: 20
Enclave Capital LLC – In the News:
FINRA v. Enclave Capital LLC (Case #2015046229701) – Enclave conducted a securities business while failing to maintain its required minimum net capital during various time periods between July 2014 and July 2015 and, relatedly, maintained inaccurate financial books and records in 2014.
FINRA disciplinary actions against a brokerage firm rarely tell the whole story of how customers were affected. If you were a customer of Enclave Capital LLC during the periods described above, the FINRA attorneys at Gana Weinstein LLP can determine whether you have a claim. Our consultations are free.