Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as T3 Trading Group, 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.
T3 Trading Group is a proprietary trading firm that provides traders with capital, technology, training, and a professional trading environment for position, swing, and intraday equity trading strategies. Established in 2010 and headquartered in New York City, the firm was founded by chief executive Sean Hendelman.
T3 Trading Group, LLC – By the Numbers:
- CRD #: 154431
- Regulatory Events: 3
- Broker Employees: 149
T3 Trading Group, LLC – In the News:
FINRA v. T3 Trading Group, LLC (Case #2021069274901) – From April 2020 to April 2025, T3 failed to comply with its obligation to publish quarterly reports concerning the firm’s handling of customer orders in National Market System (NMS) securities. T3 failed to publish any such reports from April 2020 to July 2021. Thereafter, from July 2021 to April 2025, the firm published quarterly reports that contained none, or very little, of the information that the firm was required to disclose. As a result, the firm violated Rule 606(a) of Regulation NMS under the Securities Exchange Act of 1934 and FINRA Rule 2010. In addition, from January 2020 to the present, T3 has failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with Rule 606(a) of Regulation NMS. As a result, the firm has violated FINRA Rules 3110 and 2010. For these violations, T3 is censured, fined $175,000, and consents to an undertaking to take corrective action.
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.