Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Quantriver Financial, 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.
QuantRiver Financial is a broker-dealer that provides brokerage accounts and trading platform access focused on United States equities, along with exchange traded funds, fixed income, futures, options on futures, and mutual funds. Formed in Florida in 2010 and based in Fort Myers, the firm serves mainly institutional customers along with some retail investors, with accounts carried by Interactive Brokers.
Quantriver Financial, LLC – By the Numbers:
- CRD #: 153906
- Regulatory Events: 1
- Broker Employees: 4
Quantriver Financial, LLC – In the News:
FINRA v. Quantriver Financial, LLC (Case #2016050169001) – In connection with matter 20160501690, the Order Audit Trail System (“OATS”) Compliance Team of the Department of Market Regulation reviewed the firm’s compliance with OATS reporting requirements during the period from August 26, 2015, through March 4, 2016 (the “review period”). During the review period, the firm failed to report Reportable Order Events (“ROEs”) to OATS, as described below, and as a result, the firm violated FINRA Rule 7450(a). Further, during the review period, the firm failed to have adequate supervision concerning OATS reporting, in violation of FINRA Rules 3110 and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.