Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Tangent Capital Partners, LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
Tangent Capital Partners is a boutique merchant and investment bank that provides mergers and acquisitions advisory, capital raising, and valuation services to alternative asset managers, investment advisers, and private companies, including investment team lift-outs and complex asset raises. Formed in Delaware in 2007, the firm is based on Madison Avenue in New York City and was founded by managing director Bob Rice.
Tangent Capital Partners, LLC – By the Numbers:
- CRD #: 146999
- Regulatory Events: 2
- Broker Employees: 16
Tangent Capital Partners, LLC – In the News:
FINRA v. Tangent Capital Partners, LLC (Case #2016047638801) – Tangent failed to conduct an independent test of its Anti-Money Laundering (“AML”) Compliance Program for the calendar years of 2013, 2014 and 2015 in violation of FINRA Rules 3310(c) and 2010. During the period June 2013 through February 2016 (the “Relevant Period”), Tangent failed to implement an adequate Customer Identification Program (“CIP”) in connection with 33 investors who invested in 13 private placements in violation of FINRA Rules 3310(b) and 2010. Tangent also failed to maintain required books and records in connection with its sales of those 13 private placements in violation of Section 17(a) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rules 17a-3(a)(6), 17a-3(a)(17) and 17a-4(b)(1) promulgated thereunder, and FINRA Rules 4511, 4512 and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.