Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Stratcap 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.
StratCap Securities is a securities broker-dealer. The firm was formed in Delaware in 2009.
Stratcap Securities, LLC – By the Numbers:
- CRD #: 151152
- Regulatory Events: 1
- Broker Employees: 6
Stratcap Securities, LLC – In the News:
FINRA v. Stratcap Securities, LLC (Case #2022074311701) – Between October 13 and October 28, 2021, StratCap conducted a securities business on 12 consecutive business days while it failed to maintain its minimum required net capital. As a result, StratCap violated Section 15(c) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 15c3-1 promulgated thereunder, and FINRA Rules 4110(b) and 2010.
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.