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 Tradingblock, 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.
TradingBlock is a technology-driven online brokerage that specializes in options trading, offering a modular trading platform and an executing broker-neutral platform for active traders, hedge funds, asset managers, and registered investment advisors. Founded in 2003 by former Chicago Board Options Exchange floor traders and headquartered in Chicago, the firm announced in January 2026 that it would join Nant Global Finance, a capital markets platform backed by Patrick Soon-Shiong.
Tradingblock – By the Numbers:
- CRD #: 128605
- Regulatory Events: 10
- Arbitration Events: 3
- Broker Employees: 20
Tradingblock – In the News:
FINRA v. Tradingblock (Case #2023077078301) – From December 2018 to the present, TradingBlock failed to establish and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious transactions. The firm also failed to include in its AML program appropriate risk-based procedures for conducting ongoing customer due diligence and monitoring. As a result, the firm violated FINRA Rules 3310(a), 3310(f), and 2010. For these violations, TradingBlock consented to a censure, a $210,000 fine, and an undertaking to certify that it has remediated its AML policies and procedures.
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.