Securities Lawyers Blog
When FINRA brings a disciplinary action against a brokerage firm, the findings frequently describe supervisory failures, unsuitable investment recommendations, or sales practice violations that affected many customers at once. The FINRA actions described below involve Percent Securities, LLC. The FINRA arbitration lawyers at Gana Weinstein LLP represent investors in FINRA customer disputes against brokerage firms, and a firm’s regulatory record is often important evidence in those claims. Our attorneys can determine whether your investment losses are connected to the conduct FINRA identified.
Percent Securities is a broker-dealer that acts as placement agent for private credit offerings on the Percent online platform, giving accredited and high net worth investors access to private debt investments and secondary market trading. Organized in Delaware in 2021, the firm is part of the Percent private credit marketplace and is affiliated with the registered investment adviser Percent Advisors.
Percent Securities, LLC – By the Numbers:
- CRD #: 314782
- Regulatory Events: 1
- Broker Employees: 20
Percent Securities, LLC – In the News:
FINRA v. Percent Securities, LLC (Case #2024080953801) – From October 2023 through August 2025, Percent Securities failed to timely file with FINRA offering documents for 372 member private offerings, in violation of FINRA Rules 5122 and 2010. For these violations, Percent Securities is censured and fined $60,000.
If you have suffered investment losses at Percent Securities, LLC, the FINRA arbitration attorneys at Gana Weinstein LLP can review your accounts and tell you whether you have a claim. Our consultations are free and we welcome all inquiries.