Securities Lawyers Blog
Financial advisor complaints, broker complaints, and FINRA customer disputes are public on BrokerCheck, and a broker’s regulatory history is often the first thing an investor checks after an unexpected loss. The investor attorneys at Gana Weinstein LLP help customers of firms such as GBM International, Inc. understand what a financial advisor’s disciplinary history means and whether their own losses support a claim against the broker or the brokerage firm.
GBM International is an introducing broker-dealer and futures introducing broker that executes securities and futures trades for clients, many of them Latin American investors, on a fully disclosed basis through clearing firms including Pershing and Apex. Organized in Delaware in 1991 and based in Houston, Texas, the firm is a subsidiary of Corporativo GBM, the parent of Mexican brokerage Grupo Bursatil Mexicano.
GBM International, Inc. – By the Numbers: