Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Wall Street Access. 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.
Wall Street Access is a FINRA-registered broker-dealer providing securities brokerage services. The firm was formed in New York in 1981.
Wall Street Access – By the Numbers:
- CRD #: 10012
- Regulatory Events: 19
- Arbitration Events: 15
- Broker Employees: 36
Wall Street Access – In the News:
FINRA v. Wall Street Access (Case #2020066754701) – Between October 2019 and April 2021, Wall Street Access (WABR) violated Rule 611(c) of Regulation National Market System (NMS) of the Securities Exchange Act of 1934 and FINRA Rule 2010 by failing to take reasonable steps to establish that the intermarket sweep orders (ISOs) it routed to certain market centers met the requirements for an ISO. The firm also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to prevent trade-throughs, in violation of Rule 611(a) of Regulation NMS and FINRA Rules 3110 and 2010.
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.