Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as T.R. Winston & Company, LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
T.R. Winston and Company is a FINRA member broker-dealer that acts as an introducing broker-dealer and places private financings with investors for corporate issuers, including note offerings for companies such as Emmaus Life Sciences. Registered as a broker-dealer since 1982 and organized in its current form in Delaware in 2003, the individually owned firm is headquartered in Bedminster, New Jersey.
T.R. Winston & Company, LLC – By the Numbers:
- CRD #: 10571
- Regulatory Events: 5
- Arbitration Events: 5
- Broker Employees: 19
T.R. Winston & Company, LLC – In the News:
FINRA v. T.R. Winston & Company, LLC (Case #2015047957001) – Since at least February 2015 through the present (the review period), T.R. Winston failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), that was reasonably designed to achieve compliance with Rule 101 of Regulation M of the Securities Exchange Act of 1934. As a result, the firm violated FINRA Rules 3110 and 2010.
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.