Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with ATM Execution. If you suffered losses investing with ATM Execution, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
ATM Execution (CRD# 122529) (SEC# 8-65509)
As of April 4, 2020, ATM Execution’s FINRA BrokerCheck Report contains the following:
13 Regulatory Event Disclosures
Main Office Location
599 LEXINGTON AVE
21 FLOOR
NEW YORK, NY 10022
USA
Mailing Address
599 LEXINGTON AVE
21 FLOOR
NEW YORK, NY 10022
USA
Business Telephone Number
646-562-1010
Direct Owners and Executive Officers
COWEN STRUCTURED HOLDINGS INC., SOLE DIRECT OWNER AND SOLE MEMBER
CHARNEY, DANIEL S (CRD#:2158255), CHIEF EXECUTIVE OFFICER
HOLMES, JOHN (CRD#:1281617), CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER
JORDAN, FRANCIS (CRD#:5634167), PRINCIPAL FINANCIAL OFFICER
KHOWONG, PHONGSY (CRD#:2379055), FINOP
NIZICH, MATTHEW JOHN (CRD#:2119564), CHIEF COMPLIANCE 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 ATM Execution 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.
