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 Imc Financial Markets, 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.
IMC Financial Markets is the United States broker-dealer of IMC, a proprietary trading firm and market maker that provides liquidity in options, exchange-traded funds, equities, and other instruments, and that serves as a designated market maker on the New York Stock Exchange and lead market maker for more than 150 United States ETFs. Organized in Illinois in 2000 and based in Chicago, the firm belongs to IMC Trading, which was founded in Amsterdam in 1989 and operates on more than 90 exchanges with offices in cities including Chicago, New York, Amsterdam, London, Sydney, Hong Kong, Mumbai, Seoul, and Zug.
Imc Financial Markets – By the Numbers:
- CRD #: 104143
- Regulatory Events: 40
- Broker Employees: 514
Imc Financial Markets – In the News:
FINRA v. Imc Financial Markets (Case #2020068719701) – From the start of its Consolidated Audit Trail (CAT) reporting obligation on June 22, 2020, through June 30, 2023, IMC failed to timely and accurately report data for tens of billions of equity and options order events to the CAT Central Repository in violation of FINRA Rules 6830, 6893, and 2010. During the relevant period, IMC also failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with CAT reporting rules in violation of FINRA Rules 3110 and 2010.
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.