Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Mesirow Financial, 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.
Mesirow Financial is an independent financial services firm offering investment management, capital markets and investment banking, and advisory services, including investment, risk management and wealth advisory solutions. Founded in 1937 by Norman Mesirow and headquartered in downtown Chicago, the employee-owned and privately held firm operates in about 21 cities worldwide, including New York, Puerto Rico, London and Hong Kong.
Mesirow Financial, Inc. – By the Numbers:
- CRD #: 2764
- Regulatory Events: 18
- Broker Employees: 275
Mesirow Financial, Inc. – In the News:
FINRA v. Mesirow Financial, Inc. (Case #2016047863301) – On twenty-five occasions between March 1, 2015 and April 30, 2016, Mesirow failed to timely submit certain offering documents to the Electronic Municipal Market Access (“EMMA”) system operated by the Municipal Securities Rulemaking Board (“MSRB”). Mesirow’s written supervisory procedures were not reasonably designed to ensure compliance with its obligation, as an underwriter in a primary offering of municipal securities, to make these required EMMA submissions within the specified time. As a result, Mesirow violated MSRB Rules G-27 and G-32.
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.