1st Global Capital – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with 1st Global Capital. If you suffered losses investing with 1st Global Capital, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
1st Global Capital (CRD# 30349) (SEC# 8-44870)
As of September 12, 2016, 1st Global Capital’s FINRA BrokerCheck Report contains the following:
3 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
12750 MERIT DRIVE
SUITE 1200
DALLAS, TX 75251
Mailing Address
12750 MERIT DRIVE
SUITE 1200
DALLAS, TX 75251
Business Telephone Number
214-294-5000
Direct Owners and Executive Officers
1ST GLOBAL, INC. – STOCKHOLDER
BATMAN, STEPHEN ANTHONY (CRD# 1678685) – CEO, DIRECTOR, TREASURER
KNOCH, DAVID CHRISTOPHER (CRD# 4320245) – PRESIDENT
MAGSON, JEFFREY SCOTT (CRD# 2394390) – EVP, CLIENT EXPERIENCE OFFICER
PAGANO, MICHAEL ANTHONY (CRD# 2693795) – EVP, COMPLIANCE, LEGAL & RISK ASSESSMENT
PRENTICE, CESSFORD ALTON (CRD# 3267531) – VP, KEY ACCOUNTS
SCHAUB, ADAM CHRISTOPHER (CRD# 4018919) – AVP, CHIEF COMPLIANCE OFFICER
STEWART, EVERETT PAUL JR (CRD# 2025188) – EVP, CHIEF OPERATIONS OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with 1st Global Capital and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
