Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as The Vertical Group, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
The Vertical Group is a broker-dealer that handles equity and listed options transactions for customers, makes markets in stocks, and earns fees for matching broker-dealers, banks, and hedge funds on option trades. Formed in New York in 2005 as The Vertical Trading Group and wholly owned by RAS Holdings, the firm has its principal office in Red Bank, New Jersey and branch offices in New Jersey and Florida.
The Vertical Group – By the Numbers:
- CRD #: 104353
- Regulatory Events: 13
- Broker Employees: 14
The Vertical Group – In the News:
FINRA v. The Vertical Group (Case #2015044227301) – In Review No. 20150442273, the staff of the FINRA Department of Market Regulation (“the staff”) conducted a Trading and Market Making Surveillance Examination (“TFCE Examination”), which included the trading activities of the firm, for the trade dates of February 16-27, 2015 (“the review period”). During the review period the firm violated Rule 605 of Regulation NMS.
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.