Securities Lawyers Blog
When FINRA brings a disciplinary action against a brokerage firm, the findings frequently describe supervisory failures, unsuitable investment recommendations, or sales practice violations that affected many customers at once. The FINRA actions described below involve Sentinel Brokers Company, Inc. The FINRA arbitration lawyers at Gana Weinstein LLP represent investors in FINRA customer disputes against brokerage firms, and a firm’s regulatory record is often important evidence in those claims. Our attorneys can determine whether your investment losses are connected to the conduct FINRA identified.
Sentinel Brokers Company is an institutional broker-dealer specializing in bond brokerage, which added equity market-making in 2021 and underwriting and selling group activities for corporate securities offerings in 2025. Established in 1996 and based in New York, the firm is a subsidiary of DSS, a multinational company listed on the NYSE American.
Sentinel Brokers Company, Inc. – By the Numbers: