Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Kapitall Generation, 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.
Kapitall Generation is a broker-dealer that formerly offered online retail brokerage as an introducing broker through Apex Clearing and, since 2022, has provided clearing and execution services solely to 401(k) plans managed by its parent and advised by its affiliate WealthyX. Formed in Delaware in 2009, the firm is a wholly owned subsidiary of DCP360, which does business as SaveDay, and is based in Austin, Texas.
Kapitall Generation, LLC – By the Numbers: