Did you suffer investment losses with Advisors Asset Management (CRD# 46727) (SEC# 801-62731, 8-51509)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Advisors Asset Management. If you suffered losses investing with Advisors Asset Management, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, Advisors Asset Management’s FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
1 Arbitration Disclosures
Main Office Location
18925 BASE CAMP ROAD
MONUMENT, CO 80132-0000
UNITED STATES
Mailing Address
18925 BASE CAMP ROAD
MONUMENT, CO 80132-0000
UNITED STATES
Business Telephone Number
719-488-9956
Advisors Asset Management’s Direct Owners and Executive Officers
AAM HOLDINGS, INC, SHAREHOLDER
BOYLE, MICHAEL ROY (CRD#:3200882), SR. VP
COLYER, LISA ANNE (CRD#:1214637), EXEC. VP/DIRECTOR
COLYER, SCOTT IRVIN (CRD#:1455160), CHIEF EXECUTIVE OFFICER/DIRECTOR
COSTAS, JAMES ROBERT (CRD#:1060863), EXEC. VP/DIRECTOR
DANIEL, BART PATRICK (CRD#:4263841), CHIEF STRATEGY OFFICER/DIRECTOR
GALVIN, JOHN PATRICK (CRD#:5085831), EXEC. VP
GENOVESE, CHRISTOPHER THOMAS (CRD#:2255451), EXEC. VP/DIRECTOR
GILBERT, BRIAN WAYNE (CRD#:1857325), FIRST VP
LLOYD, MATTHEW WILLIAM (CRD#:2460808), CHIEF INVESTMENT STRATEGIST
MEITZNER, ALEX ROBERT (CRD#:1964373), SR. VP
OPIE, JEFFREY KURTIS (CRD#:5763807), CHIEF FINANCIAL OFFICER
PEGG, RANDAL JASON (CRD#:2625619), EXEC. VP/DIRECTOR
SICKLES, CHARLES EDWARD (CRD#:2097390), EXEC. VP
SIMKIN, JACK DAVID (CRD#:1662746), DIRECTOR
STEWART, RICHARD ALAN (CRD#:1653343), EXEC. VP
STOKLOSA, TIMOTHY JOHN (CRD#:4897959), EXEC. VP, CHIEF OPERATING OFFICER
WEBBER, JOHN EDWIN (CRD#:5169415), SVP, CHIEF COMPLIANCE OFFICER/SECRETARY
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 Advisors Asset Management and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
FIXED INCOME SECURITIES, INC., FIXED INCOME SECURITIES, LLC, FIXED INCOME SECURITIES, LP, STERLING BROKERAGE SERVICES, LLC, FIXED INCOME SECURITIES, INC., FIXED INCOME SECURITIES, LLC, FIXED INCOME SECURITIES, LP, STERLING BROKERAGE SERVICES, LLC
