UPDATE 4/12/2020: According to FINRA’s February 2020 Disciplinary Actions: “Individual Suspended for Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution Pursuant to FINRA Rule Series 9554.” (FINRA Arbitration Case #18-01055)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Andrew Spaventa. If you suffered losses investing with Andrew Spaventa, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Andrew Spaventa (CRD# 6175466)
As of April 12, 2020, Andrew Spaventa’s FINRA BrokerCheck Report contains the following:
Disclosure Events
1 Customer Dispute(s)
2 Regulatory Event(s)
2 Criminal Disclosure(s)
Current and Previous Registrations
10/18/2018 – 06/03/2019 SW FINANCIAL (CRD#:145012) MELVILLE, NY
09/13/2017 – 10/17/2018 NETWORK 1 FINANCIAL SECURITIES INC. (CRD#:13577) Huntingon Station, NY
03/31/2014 – 12/12/2016 SALOMON WHITNEY FINANCIAL (CRD#:145012) FARMINGDALE, NY
03/29/2013 – 04/08/2014 CAPE SECURITIES INC. (CRD#:7072) HOLBROOK, NY
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 Andrew Spaventa 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.
