SecondMarket, Inc. (Genesis Global Trading )entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2007-September 2010, the firm violated Exchange Act, FINRA and NASD Rules.
The violations related to record keeping and email archiving failures.
Case # 2011029759901
SecondMarket was censured and fined $100,000.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900