Securities Lawyers Blog
A concentrated investment portfolio, a failure to diversify, or an investment with far more risk than the investor understood are common causes of large investment losses. The broker negligence attorneys at Gana Weinstein LLP help investors at firms such as Hunnicutt & Co. LLC determine whether their financial advisor breached the duty to recommend suitable investments and, when the advisor did, pursue recovery through FINRA arbitration.
Hunnicutt and Company is a small, individually owned broker-dealer providing securities brokerage services. Registered with the SEC since 1987 and organized as a New York limited liability company in 2007, the firm is located on East 59th Street in Manhattan.
Hunnicutt & Co. LLC – By the Numbers:
- CRD #: 20576
- Regulatory Events: 1
- Broker Employees: 2
Hunnicutt & Co. LLC – In the News:
FINRA v. Hunnicutt & Co. LLC (Case #2021069289401) – From July 2017 to November 2022, Hunnicutt & Co. violated FINRA Rules 3310(c) and 2010 by failing to conduct independent testing of its Anti-Money Laundering (AML) compliance program.
Our broker misconduct attorneys have successfully pursued FINRA arbitration claims against brokerage firms large and small. If your financial advisor at Hunnicutt & Co. LLC lost your money, contact Gana Weinstein LLP for a free, no obligation consultation.