Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Guggenheim 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.
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, offering mergers and acquisitions and strategic advisory, debt and equity financing, sales and trading, and research services to corporate and institutional clients. Headquartered at 330 Madison Avenue in New York, the firm has offices in Atlanta, Boston, Chicago, Houston, Los Angeles, Richmond, San Francisco, London and Dublin and has advised on more than 1.7 trillion dollars in announced M&A transactions.
Guggenheim Securities, LLC – By the Numbers:
- CRD #: 40638
- Regulatory Events: 10
- Broker Employees: 781
Guggenheim Securities, LLC – In the News:
FINRA v. Guggenheim Securities, LLC (Case #2015045529701) – In connection with Matter No. 20150455297, the Department of Market Regulation reviewed the firm’s compliance with FINRA Rule 6460 during the period of January 1, 2015 through September 30, 2015 (the “review period”). During the review period, the firm violated FINRA Rule 6460.
Our broker misconduct attorneys have successfully pursued FINRA arbitration claims against brokerage firms large and small. If your financial advisor at Guggenheim Securities, LLC lost your money, contact Gana Weinstein LLP for a free, no obligation consultation.