A National Securities Arbitration & Investment Fraud Law Firm
Headquartered in Uniondale, New York, Craig Scott Capital, LLC (CSC) markets itself as a high-service registered broker-dealer serving the brokerage and investment needs of a group of knowledgeable clients. They offer “strategic investment ideas in the public markets and in alternative investments ”. Privately owned, CSC has been in operation since 2010 and clears through COR Clearing.
FINRA Fines and SanctionsCraig Scott Capital, LLC (CRD #155924, Uniondale, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was fined and censured $7,500 submitting 95 execution or combined order/execution reports that contained inaccurate, incomplete or improperly formatted data. They were previously censured and fined in 2014 for similar findings. (FINRA Case #2013038730901)
FINRA ArbitrationsIn a claim asserting failure to supervise, negligence, breach of fiduciary duty, churning, unsuitability and unauthorized trading, Craig Scott Capital was found jointly and severally liable for compensatory damages and punitive damages of over $200,000.
Silver Law GroupSilver Law Group is a nationally recognized securities and investment fraud law firm with Martindale-Hubbell® Peer Review Ratings™ “AV” rated lawyers that handle all securities arbitration matters on a contingency fee basis. The Law Firm, at no cost to investors will review account activity and account statements to determine whether there was any misconduct, whether there are damages and the legal causes of action. We investigate all sales practice violations, while taking into consideration the investor’s age, investment background, and the relationship between the investor and the brokerage firm and its financial advisor. According to securities industry rules and regulations, unsuitable investment advice, securities concentration, fraudulent misrepresentations and omissions of material facts, breach of fiduciary duty, conflicts of interest, variable annuity switching are among the causes of action that may be available to investors in claims for damages against brokerage firms and their financial advisors in a securities arbitration claim filed with the Financial Industry Regulatory Authority (FINRA). We represent investors in FINRA arbitration claims on a contingency fee basis.
To learn more call us at (954) 755-4799 or Toll Free at (800) 975-4345