Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Triton Pacific Securities, LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Triton Pacific Securities is a broker-dealer focused on private placements of securities and merger and acquisition advisory services, conducting its business without holding customer funds or securities. Organized in Delaware under the name TP Securities, the firm adopted its current name in 2007 and is affiliated with the management company Restaurant Holdings Capital.
Triton Pacific Securities, LLC – By the Numbers:
- CRD #: 139919
- Regulatory Events: 1
- Broker Employees: 4
Triton Pacific Securities, LLC – In the News:
FINRA v. Triton Pacific Securities, LLC (Case #2017052171901) – Between July 2015 and July 2017, Triton Pacific permitted an individual to function as a principal of the firm even though that individual did not hold any principal registrations, in violation of NASD Rule 1021 and FINRA Rule 2010.
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.