Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Sequence Financial Specialists LLC, were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
Sequence Financial Specialists is a FINRA member broker-dealer organized as a limited liability company. Formed in South Carolina in 2005 and registered in July of that year, the firm is based on East Evans Street in Florence, South Carolina.
Sequence Financial Specialists LLC – By the Numbers:
- CRD #: 132915
- Regulatory Events: 1
- Broker Employees: 18
Sequence Financial Specialists LLC – In the News:
FINRA v. Sequence Financial Specialists LLC (Case #2021070766201) – In December 2020, in connection with a contingency offering of securities for which it acted as the managing broker-dealer, Sequence Financial willfully violated Exchange Act Rule 10b-9 and FINRA Rule 2010 when the offering did not meet its minimum contingency by the offering termination date in the offering documents, and Sequence Financial failed to obtain affirmative consent from investors to extend the termination date or return funds to investors.
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.