Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Mirae Asset Securities (USA) Inc., were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
Mirae Asset Securities (USA) Inc. is a New York institutional broker-dealer offering prime brokerage, securities financing, stock loan, agency execution, correspondent clearing, global portfolio trading, and ETF solutions. Incorporated in 1992 and based on Seventh Avenue in Manhattan, the firm is a subsidiary of South Korea’s Mirae Asset Securities.
Mirae Asset Securities (USA) Inc. – By the Numbers:
- CRD #: 30679
- Regulatory Events: 10
- Broker Employees: 83
Mirae Asset Securities (USA) Inc. – In the News:
FINRA v. Mirae Asset Securities (USA) Inc. (Case #2024081420908) – Since September 2022, Mirae has failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with rules and laws prohibiting manipulative trading, including prearranged, coordinated, and momentum ignition trading, in violation of FINRA Rules 3110 and 2010. For these violations, Mirae is censured, fined $18,550, and required to certify that it has remediated the issues identified in this AWC.
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.