Securities Lawyers Blog
Is a brokerage firm responsible for broker misconduct? Under FINRA rules, a firm such as GlobaLink Securities, Inc. must supervise the financial advisors it registers, and it can be held liable in FINRA arbitration when a broker’s unsuitable recommendations, unauthorized trading, or misrepresentations cause investment losses. The broker misconduct attorneys at Gana Weinstein LLP bring these claims on behalf of investors and can evaluate whether a firm failed to supervise your broker.
Globalink Securities is a broker-dealer that provides online brokerage and trading in stocks, ETFs, options, mutual funds, bonds, structured products and insurance products for independent brokers and their clients. Founded in California in 1992, the firm is headquartered in Pasadena and serves Chinese-speaking and other investors through its GlobaLink Financial Network.
GlobaLink Securities, Inc. – By the Numbers: