Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Allen & Company. If you suffered losses investing with Allen & Company, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Allen & Company (CRD# 1042) (SEC# 8-12123)
As of April 4, 2020, Allen & Company’s FINRA BrokerCheck Report contains the following:
14 Regulatory Event Disclosures
Main Office Location
711 FIFTH AVENUE
NEW YORK, NY 10022
UNITED STATES
Mailing Address
711 FIFTH AVENUE
NEW YORK, NY 10022
UNITED STATES
Business Telephone Number
212-832-8000
Direct Owners and Executive Officers
ALLEN OPERATIONS LLC, PARENT COMPANY
ALLEN, HERBERT, III ANTHONY (CRD#:1532662), MANAGING DIRECTOR & PRESIDENT
DIIORIO, PETER (CRD#:5309583), GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER
MCCARTHY, TERENCE CHRISTOPHER (CRD#:1018113), CHIEF OPERATIONS OFFICER
TENET, GEORGE JOHN (CRD#:5440449), CHAIRMAN; MANAGING DIRECTOR
WIELAND, KIM MARIE (CRD#:2289822), MANAGING DIRECTOR AND CHIEF FINANCIAL 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 Allen & Company 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.
