Legend Equities Corporation
The securities fraud attorneys at Gana Weinstein LLP represent institutions and individual customers in disputes with financial firms such as, Legend Equities Corporation (The Legend Group). Our firm can perform an analysis of your investments in order to uncover potential wrongdoing by your broker. A review of your account and trading activity can reveal whether a client has been a victim of fraud, unauthorized trading, churning, or unsuitable investments.
The Legend Group is affiliated with, under common control, or otherwise performs business under the company names: The Legend Group Inc., Legend Advisory Corp, Legend Group Holdings LLC, The Legend Group’s Professional Athletes Financial Services, The Legend Group’s Professional Athletes Retirement Services, and The Legend Group Holdings.The Legend Group – By the Numbers:
- CRD# 30999
- SEC Number 8-45286
- 4 Regulatory Events as of 2014
- 1 Customer Arbitration as of 2014
NASB v. Legend Equities Corporation, AWC # 2006003703501 through an AWC, Legend Group settled allegations of failing to establish and implement internal controls compliant with NASD Rules for $110,000. Specifically, the NASD alleged that the Legend Group failed to; properly record broker dealer communications with clients for the statutory period and provide in-office clients with the requisite disclosures.
Nevada v. Legend Equities Corporation, No. CI09-045 – The state of Nevada alleged that the firm failed to register one of its associated persons and a branch office location within the state from December 2000 until June 2002 and thereafter from November 2002 until 2009.
When your broker fails to follow practices compliant with financial industry rules that misconduct may lead to substantial losses in your portfolio. The securities attorneys at Gana Weinstein LLP are familiar with both the law and the industry’s rules. We have resolved hundreds of securities arbitration claims against broker dealers. Our consultations are free and we welcome all inquiries.