Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as G.Research, 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.
G.research is a broker-dealer that provides institutional research and underwriting services, publishing investment ideas across many industries and special situations with an emphasis on small-cap and mid-cap companies. A wholly owned subsidiary of Gabelli Securities Group, the firm hosts numerous conferences each year that bring together industry leaders and institutional investors.
G.Research, LLC – By the Numbers:
- CRD #: 7353
- Regulatory Events: 5
- Arbitration Events: 1
- Broker Employees: 20
G.Research, LLC – In the News:
FINRA v. G.Research, LLC (Case #2022073262401) – From June 30, 2020, to May 1, 2023, G.research failed to disclose its own and its control affiliates’ disciplinary history in the firm’s customer relationship summary (Form CRS). By filing and delivering to customers a Form CRS that omitted required information, G.research willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010. From June 30, 2020, to the present, G.research has failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with Exchange Act § 17(a)(1) and Exchange Act Rule 17a-14, in violation of FINRA Rules 3110 and 2010.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.