Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as MDB Capital. 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.
MDB Capital is a broker-dealer and investment bank that operates a public venture model, launching and taking public deep technology companies and offering investors access through its MDB Direct platform and brokerage services. Founded in California in 1996, the firm is now headquartered in Addison, Texas, and is part of the Nasdaq-listed MDB Capital Holdings.
MDB Capital – By the Numbers:
- CRD #: 42677
- Regulatory Events: 3
- Broker Employees: 31
MDB Capital – In the News:
FINRA v. MDB Capital (Case #2018060977201) – From May 2016 to October 2022, MDB Capital failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to address certain conflicts of interest and to prevent the misuse of material non-public information (MNPI). Therefore, the firm violated FINRA Rules 3110 and 2010. The firm consents to a censure, a fine of $50,000, and an undertaking to remediate the issues identified in this AWC.
Brokerage firms are responsible for supervising the financial advisors they employ. If you believe a broker at MDB Capital caused your investment losses, Gana Weinstein LLP can help you evaluate a FINRA claim against the broker and the firm. Our consultations are free.