Securities Lawyers Blog
The FINRA arbitration attorneys at Gana Weinstein LLP represent investors who have suffered investment losses at brokerage firms such as PLP Capital. Investors who have lost money because of broker misconduct or financial advisor negligence can often recover those losses through FINRA arbitration rather than in court. Our securities arbitration lawyers can review your accounts, explain how a FINRA claim works, and tell you whether you have a case worth pursuing.
PLP Capital is a broker-dealer that provides brokerage in equities, corporate and government debt, municipal securities and options, along with investment banking and private placements. Organized in Delaware in 2015 and based in Orlando, Florida, the firm was formerly known as Blue Capital Securities and Tribal Capital Markets.
PLP Capital – By the Numbers:
- CRD #: 38901
- Regulatory Events: 2
- Broker Employees: 7
PLP Capital – In the News:
FINRA v. PLP Capital (Case #2015043329201) – Between January 1, 2013 and December 23, 2015, Tribal failed to report the customer leg of its riskless principal transactions in fixed income securities to the Trade Reporting and Compliance Engine (“TRACE”), in violation of FINRA Rules 6730 and 2010. During the same period, Tribal failed to maintain and enforce reasonable written supervisory procedures with regard to the reporting of TRACE-eligible securities transactions, in violation of NASD Rule 3010(a) and (b) (for the period before December 1, 2014) and FINRA Rules 3110(a) and (b) (on and after December 1, 2014) and 2010.
Wondering whether you can sue your financial advisor or PLP Capital? The investment loss attorneys at Gana Weinstein LLP can answer that question after a free review of your account statements. We welcome all inquiries.