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 Quint Capital Corporation. 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.
Quint Capital Corporation is a broker-dealer and registered investment adviser that handles over-the-counter equity and corporate debt transactions, mutual funds, variable life insurance and annuities, along with placement agent, underwriting and corporate finance and merger consulting services. Formed in Florida in 1989, the firm is based on Park Avenue in New York City and clears customer transactions on a fully disclosed basis.
Quint Capital Corporation – By the Numbers:
- CRD #: 26586
- Regulatory Events: 1
- Broker Employees: 12
Quint Capital Corporation – Investment Advisors:
- SEC #: 128990
- Assets Under Management: $875,000,000
- ADV Form Employee: 15
Quint Capital Corporation – In the News:
FINRA v. Quint Capital Corporation (Case #2021070418202) – During the period of January 2020 to March 2020, QCC and Quint permitted an individual who was subject to a statutory disqualification to associate with QCC in violation of FINRA By-Laws Article III, Section 3(b), FINRA Rules 8311 and 2010, and MSRB Rules G-4 and G-5. During that same period, QCC and Quint further permitted the individual to engage in activities requiring registration as a Municipal Securities Representative in violation of MSRB Rules G-2 and G-3.
Gana Weinstein LLP has successfully handled hundreds of investment disputes involving breach of fiduciary duty, negligent supervision, and unsuitable investment recommendations. Our FINRA attorneys offer free consultations to investors with losses at Quint Capital Corporation and other brokerage firms.