Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Navian Capital Securities LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Navian Capital Securities is a broker-dealer firm registered in the United States securities industry. The firm was organized in Delaware in 2006.
Navian Capital Securities LLC – By the Numbers:
- CRD #: 145037
- Regulatory Events: 2
- Broker Employees: 18
Navian Capital Securities LLC – In the News:
FINRA v. Navian Capital Securities LLC (Case #2023078229701) – FINRA’s Trade Reporting and Compliance Engine (TRACE) facilitates the mandatory reporting of certain securities transactions and provides increased price transparency to market participants and investors. From August 2022 through July 2024, Navian failed to accurately report, failed to report, or failed to timely report to TRACE 2,058 transactions in TRACE-eligible corporate debt securities, in violation of FINRA Rules 6730 and 2010. The firm also failed to reasonably supervise its TRACE reporting, in violation of FINRA Rules 3110 and 2010. For these violations, Navian is censured, fined $40,000, and has agreed to an undertaking.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.