Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Flow Traders U.S. Institutional Trading LLC. 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.
Flow Traders U.S. Institutional Trading LLC is a Flow Traders broker-dealer that provides principal trading and liquidity as a market maker, dealing off-exchange directly with institutional counterparties. Registered with the SEC in 2016 and based on Avenue of the Americas in New York, the firm was Flow Traders’ second U.S. broker-dealer.
Flow Traders U.S. Institutional Trading LLC – By the Numbers:
- CRD #: 282266
- Regulatory Events: 1
- Broker Employees: 26
Flow Traders U.S. Institutional Trading LLC – In the News:
FINRA v. Flow Traders U.S. Institutional Trading LLC (Case #2023077446501) – Between July 2019 and January 2023, Flow Traders inaccurately reported over 103,000 transactions to the Trade Reporting and Compliance Engine (TRACE) without the required No Remuneration (NR) indicator, in violation of FINRA Rules 6730(d)(1) and (d)(4)(F) and 2010. During the same period, Flow Traders also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rules 6730(d)(1) and (d)(4)(F), in violation of FINRA Rules 3110(a), 3110(b), and 2010. For these violations, Flow Traders is censured and fined $75,000.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.