Securities Lawyers Blog
Is a brokerage firm responsible for broker misconduct? Under FINRA rules, a firm such as Montrose Securities International 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.
Montrose Securities International is a small independent broker-dealer that provides securities brokerage services to its clients. Incorporated in California in 1993 and registered with the SEC since 1994, the privately owned firm is based in Sausalito, California.
Montrose Securities International – By the Numbers: