American Capital Partners LLC
The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as American Capital Partners LLC. Many investors do not realize when their financial advisor engages in securities misconduct, but there are steps that can be taken to recover losses. There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, false representations, and churning. The attorneys at Gana LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
American Capital Partners LLC is a full service brokerage firm that specializes in retail and institutional clients. The firm is affiliated, or under common control with Partners Capital Services, Inc, who shares the same president as American Capital Partners LLC.
American Capital Partners LLC - By the Numbers:
- CRD #: 119249
- SEC #: 65165
- Regulatory Events: 2
- Customer Complaints: 2
- Employees: 60
American Capital Partners LLC - In the News:
FINRA v. American Capital Partners LLC (Case #: 2007008448901) - The firm was fined $7,500 by FINRA for allegedly violating NASD Rule 2110, 2111 (A), 2320. American Capital Partners allegedly failed to execute orders fully and timely. In addition, American Capital allegedly failed to use reasonable diligence regarding certain transactions, which resulted in the buying and selling in such a market that was unfavorable to its customer.
NASD v. American Capital Partners LLC (Case #: ELI20050071) - American Capital was fined $7,500 for allegedly violating NASD Rule 3070, in their failure to report mandatory statistical and summary information regarding customer complaints.
FINRA v. American Capital Partners LLC (Case #:08-034320) - American Capital was fined $387,960.25 by FINRA for alleged breach of contract regarding the account of a common stock investor.
FINRA v. American Capital Partners LLC (Case #: 09-02523) - The firm was fined $232,000.01 by FINRA for alleged breach of fiduciary duty, breach of contract, failure to supervise, and negligence, in relation to a specific account.