Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as HRT Financial LP. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
HRT Financial is a securities broker-dealer. The firm was formed in Delaware in 2009.
HRT Financial LP – By the Numbers:
- CRD #: 152144
- Regulatory Events: 10
- Broker Employees: 247
HRT Financial LP – In the News:
FINRA v. HRT Financial LP (Case #2022076480801) – On August 31, 2022, HRT violated Securities Exchange Act of 1934 Rule 14e-4, “Prohibited Transactions in Connection with Partial Tender Offers,” and FINRA Rule 2010 by over-tendering 185,080 shares in the partial tender offer (PTO) of Company 1. From August 2022 through December 2022, HRT violated FINRA Rules 3110(a) and (b) and 2010 by failing to have a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with Exchange Act Rule 14e-4.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.