Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Standard Chartered Securities North America 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.
Standard Chartered Securities (North America) LLC is the U.S. broker-dealer of Standard Chartered, focused mainly on selling Asian, African, and Middle Eastern debt products to U.S. investors. Registered with the SEC since 2004 and based on Avenue of the Americas in New York, the firm became a limited liability company in 2017.
Standard Chartered Securities North America LLC – By the Numbers:
- CRD #: 130847
- Regulatory Events: 1
- Broker Employees: 233
Standard Chartered Securities North America LLC – In the News:
FINRA v. Standard Chartered Securities North America LLC (Case #2022074595301) – From September 2021 through March 2023, Standard Chartered violated FINRA Rules 6730(a) and 2010 by failing to timely report to the Trade Reporting and Compliance Engine (TRACE) approximately 700 transactions in TRACE-eligible corporate debt securities. In addition, from at least September 2021 through December 2024, the firm violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with TRACE reporting requirements. For these violations, the firm is censured and fined $95,000.
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.