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 Mischler Financial Group, Inc. 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.
Mischler Financial Group, operating as Mischler AmeriVet, is a service-disabled veteran owned broker-dealer that provides debt and equity capital markets underwriting, institutional sales and trading, and related services for corporations, public agencies and institutional investors. Established in California in 1994 and headquartered in Irvine, the firm is registered in all 50 states and is affiliated with Rampart Asset Management.
Mischler Financial Group, Inc. – By the Numbers:
- CRD #: 37818
- Regulatory Events: 6
- Broker Employees: 68
Mischler Financial Group, Inc. – In the News:
FINRA v. Mischler Financial Group, Inc. (Case #2016049472801) – In Matter No. 20160494728, the Department of Market Regulation reviewed the firm’s compliance with FINRA rules applicable to Order Audit Trail System (“OATS”) reporting during the period January 6, 2014 to February 25, 2016 (the “review period”). The firm failed to report required information to OATS and did not maintain adequate written supervisory procedures regarding OATS reporting, in violation of FINRA Rules 2010, 7450, and 3110 and NASD Rule 3010.
FINRA v. Mischler Financial Group, Inc. (Case #2015046491901) – In Matter No. 20150464919, the Department of Market Regulation reviewed the firm’s compliance with applicable rules regarding the reporting of transactions in eligible Securitized Products to TRACE during the period of April 1, 2015 through September 30, 2015 (the “Review Period”). During the Review Period, the firm failed to timely report trades to TRACE in violation of FINRA Rules 6730 and 2010.
The FINRA actions described above involve Mischler Financial Group, Inc. itself, and investors whose losses are connected to the conduct FINRA identified may have claims against the firm. Gana Weinstein LLP offers free consultations and we welcome all inquiries.