Liberty Partners Financial Services, LLC
The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as Liberty Partners Financial Services, LLC (Liberty Partners). 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.
Liberty Partners Financial Services LLC is an independent broker dealer that provides coaching and consulting services in addition to heir securities trading services. The firm is affiliated with, or under common control with Liberty Partners Capital Management.
Liberty Partners Financial Services - By the Numbers:
- CRD #: 130390
- SEC #: 66335
- Regulatory Events: 2
- Customer Complaints: 1
- Employees: 79
Liberty Partners Financial Services - In the News:
The State of Massachusetts v. Liberty Partners Financial Services (Case #: 2014-0064) - Liberty Partners was fined $2,500 for its alleged failure to supervise a registered representative. The firm's alleged failure to properly supervise, resulted in unauthorized trading and churning of a Massachusetts investor brokerage account by a registered representative. Allegedly, Liberty Partners also failed to promptly report its customer complaint to the CRD.
FINRA v. Liberty Partners Financial Services (Case #: 2007011233201) - Liberty Partners was fined $20,000 by FINRA for its alleged failure to transmit required information to OATs in a timely manner. The firm also allegedly failed to enforce its written supervisory procedures specifically regarding Liberty Partners' daily inspections of the OATs website to ensure the firm's OATs submissions.
FINRA v. Liberty Partners Financial Services (Case #: 15-01451) - Liberty Partners was fined $52,283 by FINRA for alleged churning, suitability, breach of contract, and failure to supervise regarding a specific account of exchange-related funds.