Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Scotia Capital (USA) Inc.. 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.
Scotia Capital (USA) Inc. is the U.S. broker-dealer and futures commission merchant of Scotiabank, providing institutional sales, trading, and prime brokerage in U.S. listed equities, DTC-eligible securities, and U.S. Treasury securities. Formed in New York in 1939, the firm is a member of the New York Stock Exchange and other exchanges and is ultimately owned by The Bank of Nova Scotia.
Scotia Capital (USA) Inc. – By the Numbers:
- CRD #: 2739
- Regulatory Events: 9
- Broker Employees: 773
Scotia Capital (USA) Inc. – In the News:
FINRA v. Scotia Capital (USA) Inc. (Case #2019061945201) – Between July 2012 and June 2019, SCUSA overreported its short interest positions in violation of FINRA Rules 4560 and 2010. SCUSA also failed to establish and maintain a supervisory system reasonably designed to achieve compliance with short interest reporting requirements, in violation of NASD Rule 3010 and FINRA Rules 3110 and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.