Securities Lawyers Blog

Parkland Securities, LLC Investor Attorney

October 28, 2026 | by Staff Attorney

The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Parkland Securities, LLC, 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.

Parkland Securities is an independent broker-dealer that offers mutual funds, equities, fixed income, options, variable and fixed annuities, life insurance, and alternative investments such as REITs and oil and gas programs through independent branch offices, and it serves as broker of record for the Axis Advice Engine wrap fee program sponsored by affiliate Sigma Planning Corporation. Formed in Delaware in 2001 and headquartered in Ann Arbor, Michigan, the firm clears through National Financial Services and operates branches across the United States and its territories with administrative support from affiliate Axtella.

Parkland Securities, LLC – By the Numbers:

Baker Tilly Capital, LLC Investment Attorney

October 28, 2026 | by Staff Attorney

The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Baker Tilly Capital, 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.

Baker Tilly Capital is a limited purpose broker-dealer that provides investment banking services, including mergers and acquisitions advisory, project finance structuring and advisory, and New Markets Tax Credit work that helps community development entities and businesses obtain allocations and funding. Formed as a Wisconsin limited liability company and based in Madison, Wisconsin, the firm is owned by Baker Tilly Advisory Group, which took over the business from Baker Tilly US in May 2024.

Baker Tilly Capital, LLC – By the Numbers:

Crescent Securities Group, Inc. Investment Attorney

October 28, 2026 | by Staff Attorney

The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Crescent Securities Group, Inc.. 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.

Crescent Securities Group is a broker-dealer that focuses on underwriting private placements and trading government-backed collateralized mortgage obligations, along with securities commissions and sales of investment company shares. Incorporated in Texas in 2001 and based in the Dallas area, the firm is a wholly owned subsidiary of D2 Equity Holdings and serves customers located mostly in Texas.

Crescent Securities Group, Inc. – By the Numbers:

RCX Capital Group, LLC Investment Attorney

October 28, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as RCX Capital Group, 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.

RCX Capital Group is a broker-dealer that provides mergers and acquisitions advisory services and best-efforts private placements of securities, earning most of its revenue from private placement commissions on offerings by real estate industry sponsors. Formed in California in 2000 and now based in The Woodlands, Texas, the firm has been wholly owned by RCX Capital Group Holdings since December 2023.

RCX Capital Group, LLC – By the Numbers:

Great Point Capital LLC

October 28, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Great Point Capital LLC. 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.

Great Point Capital is a broker-dealer that engages in proprietary trading of exchange-traded equities and equity and index options through an in-house day trading desk, and it also handles private placements and wealth management for high-net-worth clients. Formed in Delaware in 2000 and headquartered in Chicago with a second office in Austin, the firm clears through a joint back office arrangement with Wedbush Securities.

Great Point Capital LLC – By the Numbers:

Union Capital Company Investment Attorney

October 28, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Union Capital Company. 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.

Union Capital Company is a broker-dealer, investment adviser, and insurance broker that provides portfolio management and selection of outside advisers for individuals, families, and small businesses, compensated through asset-based fees and commissions. Incorporated in Arizona in 1999 and headquartered in Tucson, the firm serves high-net-worth and other individual clients and uses custodians including RBC Capital Markets and Charles Schwab.

Union Capital Company – By the Numbers:

Harpeth Securities, LLC

October 28, 2026 | by Staff Attorney

We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Harpeth Securities, LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.

Harpeth Securities is the FINRA and SIPC member broker-dealer through which Harpeth Capital offers securities as part of its investment banking, principal investing, and consulting business, which includes expertise in healthcare. Formed in Tennessee in 2000, the firm is based at One American Center on West End Avenue in Nashville.

Harpeth Securities, LLC – By the Numbers:

Cova Capital Partners LLC Securities Attorney

October 28, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Cova Capital Partners LLC. 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.

Cova Capital Partners is a broker-dealer that provides corporate finance services, including capital raising and advisory work that helps high-growth, emerging, and middle market companies secure financing from institutional, qualified, and accredited investors and lenders for growth, turnaround, or recapitalization. Formed in New York in 2000, the firm is headquartered in Syosset on Long Island.

Cova Capital Partners LLC – By the Numbers:

Speedtrader, Inc Securities Attorney

October 28, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Speedtrader, 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.

SpeedTrader is a direct access online broker that serves active stock and options traders and day traders with desktop, web, and mobile trading platforms offering Level 2 data, hotkeys, scanners, and routing to multiple ECNs. Incorporated in New York in 1999, the firm is a SIPC member and operates as part of Mint Global Markets.

Speedtrader, Inc – By the Numbers:

Bruce A. Lefavi Securities, Inc. Securities Attorney

October 28, 2026 | by Staff Attorney

We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Bruce A. Lefavi Securities, Inc.. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.

Bruce A. Lefavi Securities is a broker-dealer that provides securities brokerage services on a commission basis and serves as the affiliated broker-dealer for an investment advisory practice whose advisory trades it executes. Incorporated in Utah in 1980, the firm is based in Salt Lake City.

Bruce A. Lefavi Securities, Inc. – By the Numbers: