Securities Lawyers Blog
Investors researching The Ultima Global Markets (USA), Inc. often want to know about the firm’s regulatory history before deciding whether to speak with a lawyer. This page summarizes the FINRA disciplinary actions in which The Ultima Global Markets (USA), Inc. was named. The securities fraud attorneys at Gana Weinstein LLP represent investors in claims against brokerage firms and financial advisors for investment fraud, unsuitable investment recommendations, excessive trading, and failure to supervise, and we can review the firm’s record together with your account statements to determine whether you have a claim.
The Ultima Global Markets (USA) is a small broker-dealer and FINRA member that provides securities brokerage services with a global market orientation. Organized in New York in 1998, the firm is headquartered on Park Avenue in New York City and has a mix of foreign entity and individual ownership.
The Ultima Global Markets (USA), Inc. – By the Numbers: