Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as North Capital Private Securities Corporation, 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.
North Capital Private Securities is a managing broker-dealer that supports private securities offerings under Regulation D, Regulation A, and Regulation Crowdfunding, providing compliance review, investor verification, payments and closings, and recordkeeping, and also acts as distributor and agency broker for private funds, registered funds, and REITs. Based in Midvale, Utah, and registered in all 50 states, the firm has reviewed more than 5,300 deals and processed over 500,000 private market transactions alongside affiliates North Capital and North Capital Investment Technology.
North Capital Private Securities Corporation – By the Numbers:
- CRD #: 154559
- Regulatory Events: 1
- Broker Employees: 62
North Capital Private Securities Corporation – In the News:
FINRA v. North Capital Private Securities Corporation (Case #2021069382001) – Between April 2020 and May 2021, North Capital Private Securities Corporation failed to timely file with FINRA offering documents for 92 private offerings, in violation of FINRA Rules 5123 and 2010. During the same period, North Capital Private Securities Corporation was involved in the preparation of retail communications that violated the content standards in FINRA’s Advertising Rule, in violation of FINRA Rules 2210(d)(1)(A), 2210(e), and 2010.
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.