Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Pariter 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.
Pariter Securities is an introducing broker-dealer that earns commissions mainly from private placements and due diligence, along with mutual funds, annuities, and retirement plan trails, and it is associated with wealth management services including financial planning, asset management, and estate and risk management. Formed in Puerto Rico in 2008, the firm is based in Guaynabo, Puerto Rico and has been led by its sole member and president Francisco J Rivera Fernandez.
Pariter Securities, LLC – By the Numbers:
- CRD #: 127836
- Regulatory Events: 6
- Broker Employees: 5
Pariter Securities, LLC – In the News:
FINRA v. Pariter Securities, LLC (Case #2017054968801) – From October 2016 through June 2017 (the “Relevant Period”), Pariter conducted a securities business while below its net capital requirement, did not prepare timely net capital computations, filed inaccurate Financial and Operational Combined Uniform Single (“FOCUS”) reports, did not file timely notifications of its net capital deficiencies, and maintained inaccurate books and records. Finally, Pariter did not maintain its fidelity bond and did not notify FINRA of its cancellation.
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.