Securities Lawyers Blog
The investment fraud lawyers at Gana Weinstein LLP represent investors nationwide in FINRA arbitration claims against brokerage firms such as Rialto Markets LLC. Retirement account losses, structured product losses, private placement losses, and losses in non-traded REITs and other alternative investments are frequently the result of unsuitable recommendations rather than ordinary market risk. Our attorneys can analyze your investments, determine whether your broker or financial advisor acted improperly, and pursue recovery of your losses.
Rialto Markets is a broker-dealer and SEC-registered alternative trading system that specializes in online capital formation, supporting Regulation A and Regulation Crowdfunding offerings with primary issuance, secondary trading, transfer agent, tokenization and digital ADR services. Formed in Delaware in 2016 and based in New York City as a subsidiary of Rialto Trading Holdings, the firm reported more than 300 million dollars in securities offerings listed on its technology by 2024.
Rialto Markets LLC – By the Numbers:
- CRD #: 283477
- Regulatory Events: 1
- Broker Employees: 6
Rialto Markets LLC – In the News:
FINRA v. Rialto Markets LLC (Case #2022075714101) – From at least November 2021 to June 2022, Rialto Markets failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to safeguard customer records and information in violation of Rule 30(a) of Regulation S-P of the Securities Exchange Act of 1934 (the Safeguards Rule) and FINRA Rules 3110 and 2010. For these violations, Rialto Markets is censured and fined $50,000.
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 Rialto Markets LLC and other brokerage firms.