Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Etc Brokerage Services, LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
ETC Brokerage Services is a broker-dealer firm registered in the United States securities industry. The firm was formed in Connecticut in 2007.
Etc Brokerage Services, LLC – By the Numbers:
- CRD #: 145276
- Regulatory Events: 1
- Broker Employees: 32
Etc Brokerage Services, LLC – In the News:
FINRA v. Etc Brokerage Services, LLC (Case #2016050409801) – In Review No. 20160504098, FINRA’s Department of Market Regulation conducted an Order Audit Trail System (“OATS”) Reporting Integrated Sweep regarding the firm for the period January 1, 2016 through April 30, 2016. During the review period, the firm transmitted to OATS 955 reports that contained inaccurate, incomplete, or improperly formatted data, including 907 reports with incorrect order received timestamps, in violation of FINRA Rule 7450(a). The firm’s supervisory system also was not reasonably designed to achieve compliance with OATS reporting requirements.
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.