Securities Lawyers Blog
The attorneys at Gana Weinstein LLP represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Herbert J. Sims & Co, Inc. 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.
HJ Sims is a broker-dealer that provides investment banking for senior living, healthcare and education finance, municipal and private placement underwriting, institutional sales and trading, and private wealth management. Founded in 1935 and headquartered in Fairfield, Connecticut, the independent, privately owned firm serves clients across the United States and Puerto Rico.
Herbert J. Sims & Co, Inc. – By the Numbers:
- CRD #: 3420
- Regulatory Events: 8
- Arbitration Events: 2
- Broker Employees: 88
Herbert J. Sims & Co, Inc. – In the News:
FINRA v. Herbert J. Sims & Co, Inc. (Case #2019064190401) – Between 2016 and 2019, HJ Sims failed to establish and implement an anti-money laundering (AML) program that was reasonably designed to detect and cause the reporting of suspicious cyber-events. HJ Sims therefore violated FINRA Rules 3310(a) and 2010.
Gana Weinstein LLP represents individuals, families, and institutions in securities arbitration and litigation against brokerage firms. If you suspect churning, excessive commissions, unauthorized trading, or other misconduct in your Herbert J. Sims & Co, Inc. account, our consultations are free and confidential.