Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Rosenblatt Securities Inc., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Rosenblatt Securities is a research and investment banking boutique and agency-only institutional brokerage firm offering technology, media, and telecom equity research, capital raising and mergers and acquisitions advisory for technology and fintech companies, trade execution, and market structure analysis. Organized in New York in 1979, the firm is headquartered at 40 Wall Street in New York City and serves institutional investors and technology companies.
Rosenblatt Securities Inc. – By the Numbers:
- CRD #: 18377
- Regulatory Events: 6
- Broker Employees: 57
Rosenblatt Securities Inc. – In the News:
FINRA v. Rosenblatt Securities Inc. (Case #2021069319601) – From August 2018 through September 2021, Rosenblatt failed to timely file with FINRA any offering documents for 12 private offerings as required by FINRA Rule 5123. During the same period, Rosenblatt’s supervisory system, including written supervisory procedures (WSPs), was not reasonably designed to achieve compliance with FINRA Rule 5123. Therefore, Rosenblatt violated FINRA Rules 5123, 3110, and 2010.
Brokerage firms are responsible for supervising the financial advisors they employ. If you believe a broker at Rosenblatt Securities Inc. caused your investment losses, Gana Weinstein LLP can help you evaluate a FINRA claim against the broker and the firm. Our consultations are free.