Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Oriental Financial Services LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Oriental Financial Services is a broker-dealer and investment adviser that provides brokerage, investment advisory and wealth management services to individual, family and institutional clients. Based in San Juan, Puerto Rico, the firm is a subsidiary of OFG Bancorp, the holding company of Oriental Bank.
Oriental Financial Services LLC – By the Numbers:
- CRD #: 29753
- Regulatory Events: 5
- Arbitration Events: 6
- Broker Employees: 27
Oriental Financial Services LLC – Investment Advisors:
- SEC #: 88203
- Assets Under Management: $419,555,784
- ADV Form Employee: 28
Oriental Financial Services LLC – In the News:
FINRA v. Oriental Financial Services LLC (Case #2018059633801) – In August and September 2015, Oriental included language conditioning the settlement of two arbitration proceedings on the customers’ agreements to consent to, and not to oppose, expungement of their claims from the Central Registration Depository System (the “CRD System”). As a result, Oriental violated FINRA Rules 2081 and 2010.
If you are looking to recover stock market losses or recover losses from a financial advisor at Oriental Financial Services LLC, Gana Weinstein LLP represents investors in FINRA arbitration and litigation against brokerage firms nationwide. Our consultations are free.