Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Spire Securities, LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Spire Securities is a broker-dealer that provides securities brokerage and trading services to individuals and institutions and supports financial professionals who offer investment advisory services. Formed in Virginia in 2007 and based in Reston, the firm is a wholly owned subsidiary of Spire Investment Partners, is affiliated with Spire Wealth Management, and clears transactions through National Financial Services and Pershing.
Spire Securities, LLC – By the Numbers:
- CRD #: 144131
- Regulatory Events: 2
- Arbitration Events: 1
- Broker Employees: 77
Spire Securities, LLC – In the News:
FINRA v. Spire Securities, LLC (Case #2019060672801) – Spire Securities violated FINRA Rules 5123 and 2010 by failing to timely file required documents related to private placements sold by its registered representatives. Between February 2018 and September 2019, the required regulatory filings for eight private placements were filed an average of 88 days late.
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.