Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Valley Financial Management, Inc.. 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.
Valley Financial Management is a broker-dealer and registered investment adviser that provides discretionary portfolio management, including a wrap fee program, to individuals, high-net-worth investors, and small businesses. Incorporated in New York in 2000 and headquartered on Madison Avenue in New York City, the firm also has advisors in Miami and is affiliated with a banking institution and an insurance agency.
Valley Financial Management, Inc. – By the Numbers:
- CRD #: 105387
- Regulatory Events: 5
- Broker Employees: 83
Valley Financial Management, Inc. – Investment Advisors:
- SEC #: 113685
- Assets Under Management: $473,254
- ADV Form Employee: 124
Valley Financial Management, Inc. – In the News:
FINRA v. Valley Financial Management, Inc. (Case #2015046870701) – In Matter No. 20150468707, FINRA staff reviewed the firm’s compliance with reporting requirements of corporate debt securities to the Trade Reporting and Compliance Engine (“TRACE”) and related books and records requirements during the period from April 1, 2015 through September 30, 2015 (the “review period”). The firm violated FINRA Rules 6730 and 4511 and SEC Rule 17a-3.
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.