Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Griffinest Asia Securities, 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.
Griffinest Asia Securities is a FINRA member broker-dealer organized as a limited liability company. Formed in California in 2004 and registered in December of that year, the firm is based on North Lake Avenue in Pasadena.
Griffinest Asia Securities, LLC – By the Numbers:
- CRD #: 132187
- Regulatory Events: 1
- Broker Employees: 22
Griffinest Asia Securities, LLC – In the News:
FINRA v. Griffinest Asia Securities, LLC (Case #2019062326101) – Between July 2016 and November 2018, Griffinest Asia failed to establish, maintain, and enforce a supervisory system and written supervisory procedures (WSPs) reasonably designed to supervise trades in Non-Traditional Exchange Traded Products (ETPs). As a result, Griffinest Asia violated FINRA Rules 3110(a), 3110(b), 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.