Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Lebenthal Financial Services, Inc.. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Lebenthal Financial Services is a broker-dealer registered with FINRA. The firm was incorporated in New York in 2005.
Lebenthal Financial Services, Inc. – By the Numbers:
- CRD #: 137988
- Regulatory Events: 1
- Broker Employees: 29
Lebenthal Financial Services, Inc. – In the News:
FINRA v. Lebenthal Financial Services, Inc. (Case #2021069350601) – From at least April 2010 until April 2021, Lebenthal Financial failed to reasonably supervise the use of consolidated reports in violation of FINRA Rules 3110 and 2010, and NASD Rule 3010. In addition, the firm disseminated to customers consolidated reports that omitted material disclosures in violation of FINRA Rules 2210 and 2010. Finally, the firm failed to preserve copies of the consolidated reports it disseminated to customers in violation of Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511 and 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.