Securities Lawyers Blog
The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Tradier Brokerage, Inc., were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.
Tradier Brokerage is an online broker-dealer that provides brokerage as a service through a cloud-based API, letting fintech companies, trading platforms, and digital registered investment advisers offer market data, account services, and equity and options trading inside their own applications. Organized in Illinois in 1993 and headquartered in Charlotte, North Carolina, the firm is a subsidiary of Tradier and has integrated with more than 100 financial firms, with customer accounts carried and cleared by Apex Clearing.
Tradier Brokerage, Inc. – By the Numbers:
- CRD #: 104982
- Regulatory Events: 2
- Broker Employees: 14
Tradier Brokerage, Inc. – In the News:
FINRA v. Tradier Brokerage, Inc. (Case #2024081243801) – From at least July 2022 through December 2023, Tradier Brokerage failed to report to FINRA accurate statistical and summary information regarding written customer complaints. During this period, the firm’s supervisory system, including written procedures, was not reasonably designed to achieve compliance with FINRA Rule 4530(d). Therefore, the firm violated FINRA Rules 4530, 3110 and 2010, and is censured and fined $75,000.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.