Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as RCM Securities. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
RCM Securities is a Chicago broker-dealer associated with RCM Alternatives, a firm that connects investors and asset managers with alternative investments such as managed futures and macro strategies and provides futures execution and brokerage services. Formed in Illinois in 1985 and registered as a broker-dealer since that year, the firm is headquartered on West Adams Street in Chicago.
RCM Securities – By the Numbers:
- CRD #: 15548
- Regulatory Events: 4
- Arbitration Events: 1
- Broker Employees: 13
RCM Securities – In the News:
FINRA v. RCM Securities (Case #2021069362101) – From June 30, 2020, to March 4, 2022, RCM Securities failed to timely file and deliver to retail investors a client relationship summary (Form CRS). The firm’s Forms CRS, filed on March 4, 2022, March 9, 2022, and July 7, 2022, failed to disclose that the firm and three of its registered representatives had legal or disciplinary history. As a result, RCM Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010.
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.