Securities Lawyers Blog
We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as United First Partners LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.
United First Partners is a broker-dealer that trades equities and corporate, government, agency, and municipal debt, brokers foreign securities for United States institutions, publishes research, participates in underwritings and private placements, and may provide merger and acquisition services. Formed in New York in 2010 and headquartered at Columbus Circle in New York City, the firm is controlled by United First Management and operates alongside its London affiliate UFP LLP.
United First Partners LLC – By the Numbers:
- CRD #: 155456
- Regulatory Events: 4
- Broker Employees: 20
United First Partners LLC – In the News:
FINRA v. United First Partners LLC (Case #2020065261801) – From April 2019 to June 2022, UFP and Dickerson failed to establish and maintain a reasonable supervisory system, including written procedures, reasonably designed to supervise the outside brokerage accounts disclosed by its registered representatives pursuant to FINRA Rule 3210. As a result, Respondents violated FINRA Rules 3110 and 2010. Additionally, during the same period, UFP and Dickerson failed to establish and maintain policies and procedures reasonably designed to restrict or limit the information flow between its research department personnel and sales and trading personnel so as to prevent sales and trading department personnel from utilizing non-public advance knowledge of research reports for their benefit.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.