Securities Lawyers Blog
Stockbroker fraud and financial advisor negligence cost investors billions of dollars every year. The stockbroker fraud attorneys at Gana Weinstein LLP represent investors in FINRA arbitration claims involving misrepresentation, omissions, excessive commissions, and overconcentration of investment portfolios, including claims by customers of firms such as Yosemite Execution Partners Inc. We can determine whether your investment losses were caused by misconduct and what damages may be recovered.
Yosemite Execution Partners is a broker-dealer specializing in private placements, marketing securities to accredited investors and qualified institutional buyers and advising on mergers and acquisitions. Incorporated in Delaware in 2012 as Seedchange Execution Services and renamed in 2021, the firm is a wholly owned subsidiary of Seedchange and is based in Lafayette, California.
Yosemite Execution Partners Inc. – By the Numbers:
- CRD #: 165587
- Regulatory Events: 1
- Broker Employees: 17
Yosemite Execution Partners Inc. – In the News:
FINRA v. Yosemite Execution Partners Inc. (Case #2018058617701) – At least from November 2017 to March 2018, SeedChange failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, for the evaluation of whether its registered persons’ proposed outside business activities constituted outside securities activities. During this period, SeedChange knew that one of its registered representatives was engaging in an outside business activity that involved an investment fund, but the firm did not evaluate whether the activity constituted an outside securities activity. As a result, SeedChange violated FINRA Rules 3110, 3270, and 2010.
If you are looking to recover stock market losses or recover losses from a financial advisor at Yosemite Execution Partners Inc., Gana Weinstein LLP represents investors in FINRA arbitration and litigation against brokerage firms nationwide. Our consultations are free.