Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Global Oak Capital Markets LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Global Oak Capital Markets is a broker-dealer that retails corporate equities and corporate debt and conducts private placements of securities, and it may also act as an underwriter or selling group participant. Formed in Delaware in 2002, the firm has its principal place of business on Legare Street in Charleston, South Carolina.
Global Oak Capital Markets LLC – By the Numbers:
- CRD #: 125860
- Regulatory Events: 1
- Broker Employees: 3
Global Oak Capital Markets LLC – In the News:
FINRA v. Global Oak Capital Markets LLC (Case #2016049203601) – In connection with Review No. 20160492036, the Order Audit Trail System (“OATS”) Compliance Team of the Department of Market Regulation reviewed the firm’s compliance with OATS reporting rules during the period from January 30, 2015 to February 25, 2016. During the review period, the firm failed to transmit 4,373 Reportable Order Events (“ROEs”) to OATS on 184 business days, representing 93.42% of all the ROEs the firm was required to transmit. The firm’s supervisory system also was not reasonably designed to achieve compliance with OATS reporting requirements. As a result, the firm violated FINRA Rules 7450, 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.