Securities Lawyers Blog
The attorneys at Gana Weinstein LLP represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Redbridge Securities LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
Redbridge Securities is a broker-dealer that offers brokerage in equities, corporate debt, mutual funds and options, along with underwriting and private placement services. Organized in Delaware in 2015 and headquartered in Plano, Texas, the firm is owned by BBAE Holdings, is registered in all 53 United States states and territories, and clears through Apex Clearing and RQD Clearing.
Redbridge Securities LLC – By the Numbers:
- CRD #: 287912
- Regulatory Events: 1
- Broker Employees: 9
Redbridge Securities LLC – In the News:
FINRA v. Redbridge Securities LLC (Case #2020068737101) – From September 2019 to October 2023, Redbridge failed to establish and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious transactions by the firm’s customers, in violation of FINRA Rules 3310(a), 3310(f)(ii), and 2010. Between September 2019 and October 2022, Redbridge also failed to establish and implement a reasonable program to achieve compliance with customer identification and risk profile requirements in violation of FINRA Rules 3310(b), 3310(f)(i), and 2010. In addition, Redbridge failed to conduct a reasonable independent test of its AML program in 2019 and 2020 or any independent test in 2021, in violation of FINRA Rules 3310(c) and 2010. Redbridge also failed to establish, maintain, and enforce a supervisory system reasonably designed to achieve compliance with federal securities laws and FINRA rules prohibiting market manipulation, in violation of FINRA Rules 3110 and 2010.
Our broker misconduct attorneys have successfully pursued FINRA arbitration claims against brokerage firms large and small. If your financial advisor at Redbridge Securities LLC lost your money, contact Gana Weinstein LLP for a free, no obligation consultation.