Securities Lawyers Blog
How long does FINRA arbitration take? How much does FINRA arbitration cost? What damages can I recover in FINRA arbitration? Investors with losses at firms such as Lifesci Capital ask the securities arbitration lawyers at Gana Weinstein LLP these questions before deciding whether to file a FINRA claim. Our attorneys answer them in a free consultation, explain how long you have to file FINRA arbitration, and tell you candidly whether your case is worth pursuing.
LifeSci Capital is a research-driven investment bank focused solely on the life sciences, providing equity research, capital markets underwriting and placements, mergers and acquisitions advisory, and non-deal roadshows for emerging biotechnology and healthcare companies. Formed in New York in 2013 and headquartered at 1700 Broadway in Manhattan, the firm is part of the LifeSci platform and has participated in more than 160 initial public offerings and follow-on transactions.
Lifesci Capital – By the Numbers:
- CRD #: 168404
- Regulatory Events: 1
- Broker Employees: 46
Lifesci Capital – In the News:
FINRA v. Lifesci Capital (Case #2021072554901) – In 2020 and 2021, while participating in the initial public offering for a special purpose acquisition company, LifeSci received underwriting compensation that was unreasonable and inaccurately described in the offering documents and to FINRA. LifeSci Capital also failed to make, or timely make, required filings with FINRA in connection with three separate public offerings. Therefore, LifeSci Capital violated FINRA Rules 5110 and 2010. From July 2014 to the present, LifeSci violated NASD Rule 3010 and FINRA Rules 3110 and 2010 by failing to establish a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 5110.
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 Lifesci Capital or what damages you can recover, call us for a free consultation.