Gilder Gagnon Howe & Co. Settles with SEC Over Failing to Supervise Excessive Trading
Have you lost money investing in equities or stocks through Gilder Gagnon Howe & Co., Inc.? We are currently investigating allegations made against the New York, New York-based securities brokerage firm. The Securities and Exchange Commission (SEC) brought a regulatory action against the firm, alleging that Gilder Gagnon Howe and its chief compliance officer, Bonnie Haupt, failed to adequately supervise accounts to detect excessive trading or churning.
The SEC ordered Gilder Gagnon Howe to pay a $1.7 million fine, and Bonnie Haupt was ordered to pay a $45,000 fine and barred from the securities industry.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; Seattle, Washington; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including New York and throughout the New York City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.