Securities Lawyers Blog
Elder financial abuse, unauthorized trading, churning, and broker theft are among the most serious forms of broker misconduct, and they can occur at brokerage firms of every size. The investor attorneys at Gana Weinstein LLP represent individuals and families who have suffered investment losses because of a dishonest or negligent financial advisor, including customers of firms such as Insigneo Securities, LLC. We review account activity, identify misconduct, and bring FINRA arbitration claims to recover what was lost.
Insigneo Securities is a broker-dealer that provides brokerage, investment banking and wealth management related services, with a focus on international and Latin American clients. Registered with the SEC since 1991, the firm is headquartered on Brickell Avenue in Miami, Florida.
Insigneo Securities, LLC – By the Numbers:
- CRD #: 29249
- Regulatory Events: 3
- Broker Employees: 436
Insigneo Securities, LLC – In the News:
FINRA v. Insigneo Securities, LLC (Case #2021071366302) – During the period from April 2021 to January 2022, Insigneo failed to reasonably supervise a former registered representative’s participation in private securities transactions in violation of FINRA Rules 3110 and 2010. During the period from April 2022 to September 2023, Insigneo failed to accurately report, overreported and failed to report transactions to the Trade Reporting and Compliance Engine (TRACE) in violation of FINRA Rules 6730 and 2010.
The securities fraud attorneys at Gana Weinstein LLP have represented investors throughout the country in claims against brokerage firms and stockbrokers. If you have questions about how to file FINRA arbitration against a brokerage firm such as Insigneo Securities, LLC or what damages you can recover, call us for a free consultation.