Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Ibkr Securities Services LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
IBKR Securities Services LLC is an Interactive Brokers broker-dealer that acts as securities intermediary for the Fully-Paid Lending Program of its affiliate Interactive Brokers LLC, holding collateral for the benefit of participating customers. Formed in Connecticut in 1996, the firm is part of Interactive Brokers Group, which provides trade execution and clearing on more than 170 market destinations worldwide.
Ibkr Securities Services LLC – By the Numbers:
- CRD #: 33319
- Regulatory Events: 42
- Broker Employees: 16
Ibkr Securities Services LLC – In the News:
FINRA v. Ibkr Securities Services LLC (Case #2015044128801) – In Matter No. 20150441288, FINRA Short Interest Team staff reviewed the firm’s compliance with short interest reporting requirements and related supervisory requirements during the period from January 15, 2014 through February 27, 2015. The staff’s review focused on the firm’s compliance with the short interest reporting requirements for securities that trade on a foreign exchange and for which a United States trading symbol also exists (“Foreign-Listed Securities”). See, e.g., FINRA Regulatory Notice 12-38 (August 2012), which explains that such Foreign-Listed Securities are subject to short interest reporting under FINRA Rule 4560. The firm failed to comply with this requirement, in violation of NASD Rule 3010 and FINRA Rules 2010, 3110 and 4560.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.