Founded in 1969, Legend Securities, Inc. was a FINRA and SIPC member firm that operated as a full-service broker-dealer headquartered in New York City. The company offered a range of financial services, including investment banking for emerging growth companies, private wealth management, and retail brokerage services. However, the firm faced significant regulatory scrutiny, culminating in its expulsion from the Financial Industry Regulatory Authority (FINRA) in 2017 for failing to pay fines related to supervisory and fraud-related violations, after which it ceased all brokerage operations.

Founded in

United States