Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Spiderrock Exs, 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.
SpiderRock EXS is a broker-dealer that provides options execution services to institutional clients and operates the SpiderRock ATS, an options-only alternative trading system offering flash and block auctions for exchange-listed and FLEX options. Formed in Illinois in 2008 and based on South Riverside Plaza in Chicago, the firm is a wholly owned subsidiary of SpiderRock Technology Solutions, whose trading platform handles roughly 250 billion dollars in notional volume annually.
Spiderrock Exs, LLC – By the Numbers:
- CRD #: 148743
- Regulatory Events: 3
- Broker Employees: 29
Spiderrock Exs, LLC – In the News:
FINRA v. Spiderrock Exs, LLC (Case #2015046601501) – In connection with Review No. 20150466015, the Order Audit Trail System (“OATS”) Compliance Team of the Department of Market Regulation (the “staff”) reviewed the firm’s compliance with FINRA Rule 7450 during the period October 1, 2014 through June 30, 2015 (the “review period”). As a result of its review, the staff found violations of FINRA Rule 7450, NASD Rule 3010 (for conduct prior to December 1, 2014), FINRA Rule 3110 (for conduct on or after December 1, 2014), and FINRA Rule 2010.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.