Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Ocp Capital, 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.
OCP Capital is a broker-dealer that provides private placement and corporate finance advisory services to corporations and fund managers. Formed in Delaware in 2007 and based in Bedford Hills, New York, the firm is a wholly owned subsidiary of Chimera Capital Partners and serves clients in the United States, Canada, and the European Union.
Ocp Capital, LLC – By the Numbers:
- CRD #: 143381
- Regulatory Events: 1
- Broker Employees: 6
Ocp Capital, LLC – In the News:
FINRA v. Ocp Capital, LLC (Case #2019061293401) – From March 2018 to November 2019, the majority owner of OCP used a business credit card to pay for at least $28,428 of personal expenses. OCP then misclassified these personal expenses as the firm’s business expenses on the firm’s general ledger, causing the firm’s books and records and Financial and Operational Combined Uniform Single (FOCUS) reports to be inaccurate in violation of § 17(a) of the Securities Exchange Act of 1934, Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. From March 2018 until at least November 2019, OCP allowed an unregistered individual to perform certain functions requiring principal registration without being registered in that capacity in violation of FINRA Rules 1210, 1220, and 2010 and NASD Rule 1021. The firm also failed to retain the unregistered individual’s firm-related email communications and failed to reasonably supervise that individual’s use of an outside email account to conduct firm securities-related business in violation of § 17(a) of the Exchange Act, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110, and 2010.
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.