Investor Alert: Dash Financial Technologies LLC was censured and fined $90,000 for transmitting inaccurate Reportable Order Events

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FINRA Sanctions & Allegations of Misconduct

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FINRA censured and fined $90,000 Dash Financial Technologies LLC (CRD #104031) from Chicago, Illinois for transmitting inaccurate Reportable Order Events (ROEs) to the Order Audit Trail System (OATS™), primarily due to the failure to append the correct special handling code to directed orders. Moreover, these inaccuracies resulted from various causes, including the firm’s misunderstandings of the application of certain codes, logic flaws within its own systems, logic flaws within a third-party execution and order management system and the misclassification of a client account.

Investors Have the Right to Recover Their Losses

When investments are sold by brokerage firms licensed by FINRA, they are subject to the laws that FINRA enforces. The brokerage firms are responsible for ensuring that their brokers are trading fairly, ethically and in the best interest of their clients. Ideally, they would accomplish this through careful supervision. Unfortunately, too often this supervision has been inadequate to fully protect investors. If you purchased any investments through a representative of a registered brokerage firm and suffered losses through negligence or fraud, it immediately puts the brokerage firm at fault for failing to supervise their broker. FINRA law then dictates that you can hold the firm legally liable to recover your damages.

Can I recover my investment losses?

If you lost a substantial portion of your retirement savings or other assets as a result of investments purchased through Dash Financial Technologies LLC, please contact us immediately. Our investment fraud lawyers have recovered millions of dollars from the largest banks, insurance companies, and brokerage firms in the world on behalf of investment fraud victims. You may have certain legal rights that require your immediate attention. Time is of the essence in these claims. The sooner you act, the greater your chances of recovering your investment losses. Don't wait. Contact us TODAY for a FREE Consultation and case evaluation. We will tell you if you have a viable claim worth pursuing.