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 Tradeweb Direct LLC, 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.
Tradeweb Direct is a broker-dealer that operates an electronic fixed income trading platform giving financial advisors, registered investment advisers, broker-dealers, and buy-side investors access to municipal bonds, corporate bonds, and certificates of deposit through click-to-trade and request-for-quote protocols. Formed in Delaware in 1999 and part of Tradeweb Markets, the business took its current name after Tradeweb acquired BondDesk Group in 2013, and its platform connects users with more than 200 liquidity providers across the United States.
Tradeweb Direct LLC – By the Numbers:
- CRD #: 103787
- Regulatory Events: 2
- Broker Employees: 141
Tradeweb Direct LLC – In the News:
FINRA v. Tradeweb Direct LLC (Case #2022076268801) – From April 11, 2022 through January 19, 2023, Tradeweb violated MSRB Rule G-14 by failing to include the Non-Transaction-Based Compensation (NTBC) indicator when reporting 145,898 municipal securities transactions to the MSRB’s Real-Time Transaction Reporting System (RTRS). For this violation, Tradeweb is censured and fined $65,000.
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.