Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Grandfund Investment Group, LLC, were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
GrandFund Investment Group is a broker-dealer organized as a Pennsylvania limited liability company. The firm was formed in Pennsylvania in 2017, and little additional public information about its services or operations was found.
Grandfund Investment Group, LLC – By the Numbers:
- CRD #: 143253
- Regulatory Events: 1
- Broker Employees: 2
Grandfund Investment Group, LLC – In the News:
FINRA v. Grandfund Investment Group, LLC (Case #2014039162101) – Between approximately December 2012 and June 2014, GrandFund failed to establish and implement a supervisory system for marketing expenses and charitable contributions in violation of NASD Rules 3010(a) and 3010(b) and FINRA Rule 2010. Between approximately December 2012 and January 2015, GrandFund failed to conduct adequate supervisory control system testing as required by NASD Rule 3012, and for 2014, failed to certify its supervisory controls in a timely fashion in violation of NASD Rule 3012 (for conduct before December 1, 2014), FINRA Rule 3120 (for conduct on or after December 1, 2014), and FINRA Rules 3130 and 2010.
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.