Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Harpeth Securities, LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
Harpeth Securities is the FINRA and SIPC member broker-dealer through which Harpeth Capital offers securities as part of its investment banking, principal investing, and consulting business, which includes expertise in healthcare. Formed in Tennessee in 2000, the firm is based at One American Center on West End Avenue in Nashville.
Harpeth Securities, LLC – By the Numbers:
- CRD #: 109821
- Regulatory Events: 1
- Broker Employees: 4
Harpeth Securities, LLC – In the News:
FINRA v. Harpeth Securities, LLC (Case #2021069277101) – From June 30, 2020, to April 22, 2022, Harpeth Securities failed to establish and maintain a supervisory system, and to establish, maintain, and enforce written policies and procedures, reasonably designed to achieve compliance with Exchange Act Rule 15l-1 (Regulation Best Interest or Reg BI). As a result, Harpeth Securities willfully violated Securities Exchange Act of 1934 Rule 15l-1 and violated FINRA Rules 3110 and 2010. During this period, Harpeth Securities also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with its Exchange Act Rule 17a-14 obligations to prepare, file, and deliver its customer relationship summary (Form CRS). As a result, Harpeth Securities violated FINRA Rules 3110 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.