Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Kepler Capital Markets, Inc.. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Kepler Capital Markets is a broker-dealer registered with FINRA. The firm was incorporated in Delaware in 2005.
Kepler Capital Markets, Inc. – By the Numbers:
- CRD #: 139148
- Regulatory Events: 1
- Broker Employees: 19
Kepler Capital Markets, Inc. – In the News:
FINRA v. Kepler Capital Markets, Inc. (Case #2022075863301) – From December 2016 to October 2022, Kepler violated FINRA Rules 5210 and 2010 by overstating its advertised trade volume on Bloomberg, a private, subscription-based provider of market data, in approximately 377,000 instances, by approximately 2.1 billion shares. Additionally, from December 2016 to February 2023, Kepler violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 5210.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.