American Trust Investment Services, Inc
The securities attorneys at Gana LLP represent customers in their disputes with brokerage firms, such as American Trust Investment Services, Inc (American Trust). Our firm can analyze your accounts and investments in order to determine if there was any wrongdoing in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct including unsuitable investments, unauthorized trading, excessive trading, or fraud.
American Trust Invest Services Inc is a brokerage firm that provides a variety of products and services in order to best suit their client's needs. The firm is affiliated with, or under common control with the firm, Chicago Capital Management Advisor, LLC.
American Trust Invest Services INC - By the Numbers:
- CRD #: 3001
- SEC #: 14394
- Regulatory Events: 2
- Customer Complaints: 0
- Employees: 32
American Trust Invest Services INC - In the News:
Finra v. American Trust Investment Services, INC. (Case #:2014040630701) - American Trust was fined $20,000 by FINRA for its alleged failure to supervise. American Trust allegedly lacked proper supervision over its own email filtering system in its failure to review emails flagged by its system. This alleged neglect of proper review included the firm's failure to produce and follow a set written supervisory system, specifically in regards to various consulting services the firm contracted for a certain client, which resulted in inadequate oversight of the registered representatives involved in providing consulting services on behalf of the firm.
Indiana v. American Trust Invest Services INC (Case #: 11-0062) - The firm was fined $8,000 for employing and/or associating with an individual who was involved in the activities of an investment advisor representative on behalf of the firm, even though he was not registered as an American Trust Services investment advisor representative in Indiana at that period in time. In addition, American Trust allegedly failed to properly supervise at least one of their registered representatives.