Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as National Bank of Canada Financial Inc.. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
National Bank of Canada Financial Inc. is the U.S. broker-dealer of National Bank of Canada, providing debt capital markets and fixed income, equity capital markets and equity sales and trading, global securities finance, and investment banking services. Registered with the SEC since 1988 and based on East 55th Street in New York, the firm is a member of the Depository Trust Company, the National Securities Clearing Corporation, and the Options Clearing Corporation.
National Bank of Canada Financial Inc. – By the Numbers:
- CRD #: 22698
- Regulatory Events: 10
- Broker Employees: 141
National Bank of Canada Financial Inc. – In the News:
FINRA v. National Bank of Canada Financial Inc. (Case #2023077507401) – From July 2016 through June 2024, National Bank of Canada Financial inaccurately reported to the Trade Reporting and Compliance Engine (TRACE) approximately 108,000 transactions without the required “No Remuneration” (NR) indicator, in violation of FINRA Rules 6730(d) and 2010. For this violation, National Bank of Canada Financial is censured and fined $70,000.
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.