Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Selkirk Investments, 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.
Selkirk Investments is a broker-dealer registered with FINRA. The firm was incorporated in Washington state in 1979.
Selkirk Investments, Inc. – By the Numbers:
- CRD #: 13854
- Regulatory Events: 7
- Arbitration Events: 1
- Broker Employees: 2
Selkirk Investments, Inc. – In the News:
FINRA v. Selkirk Investments, Inc. (Case #2015045624401) – In Matter No. 20150456244, Fixed Income staff of FINRA’s Department of Market Regulation reviewed the firm’s compliance with the best execution and fair pricing requirements of FINRA Rules 5310 and 2121 and related supervisory requirements in connection with corporate bond transactions by the firm during the periods from January 1, 2015 through March 31, 2015, and October 1, 2015 through March 31, 2016 (the “review period”). During the review period, the firm relied solely upon two broker-dealers to source the bonds for filling customer’s corporate bond orders. In certain instances detailed below, however, the resulting pricing to the firm’s customers did not comply with the best execution or fair pricing requirements of FINRA Rules 5310 and 2121, respectively. Additionally, the firm’s supervisory system, including its written supervisory procedures, was not reasonably designed to achieve compliance with the above best execution and fair pricing requirements for the reasons specified below. Accordingly, the firm violated FINRA Rules 5310, 2121, 3110 and 2010 during the review period.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.