Securities Lawyers Blog
The investment fraud lawyers at Gana Weinstein LLP represent investors nationwide in FINRA arbitration claims against brokerage firms such as Hovde Group, LLC. Retirement account losses, structured product losses, private placement losses, and losses in non-traded REITs and other alternative investments are frequently the result of unsuitable recommendations rather than ordinary market risk. Our attorneys can analyze your investments, determine whether your broker or financial advisor acted improperly, and pursue recovery of your losses.
Hovde Group is a boutique investment bank and broker-dealer focused exclusively on the financial services sector, offering M&A advisory, capital markets, equity research, and equity sales and trading, including market making in community and regional bank stocks. With more than 30 years of history and its main office in Inverness, Illinois, the firm has additional offices in Atlanta, Charlotte, McLean, Nashville and Toledo and serves banks and investors throughout the United States.
Hovde Group, LLC – By the Numbers:
- CRD #: 25425
- Regulatory Events: 1
- Broker Employees: 47
Hovde Group, LLC – In the News:
FINRA v. Hovde Group, LLC (Case #2024080106601) – From August 2020 until July 2024, Hovde Group failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to review the securities transactions in its associated persons’ outside brokerage accounts for potential violations of securities laws and FINRA rules. As a result, the firm violated FINRA Rules 3110 and 2010.
Brokerage firms are responsible for supervising the financial advisors they employ. If you believe a broker at Hovde Group, LLC caused your investment losses, Gana Weinstein LLP can help you evaluate a FINRA claim against the broker and the firm. Our consultations are free.