Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Ausdal Financial Partners. If you suffered losses investing with Ausdal Financial Partners, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Ausdal Financial Partners (CRD# 7995) (SEC# 801-69266, 8-24519)
As of April 4, 2020, Ausdal Financial Partners’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
1 Arbitration Disclosures
Main Office Location
5187 UTICA RIDGE RD
DAVENPORT, IA 52807
UNITED STATES
Mailing Address
5187 UTICA RIDGE RD
DAVENPORT, IA 52807
UNITED STATES
Business Telephone Number
563-326-2064
Direct Owners and Executive Officers
AUSDAL LIVING TRUST, SHAREHOLDER
EQUITY INVESTMENTS, L.C., SHAREHOLDER
MICKELSEN, KRAIG RICHARD (CRD#:2845238), SHAREHOLDER
SIMPSON, HEATHER DEBRAY, SHAREHOLDER
WITTER, JESSICA ANN, SHAREHOLDER
AUSDAL, MONICA LEA, SHAREHOLDER, TRUSTEE
AUSDAL, ROBERT BURNS JR (CRD#:734479), PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, SHAREHOLDER, TRUSTEE, CCO OF RIA
HICKS, JOHN BRYAN, DIRECTOR, SHAREHOLDER,VICE PRESIDENT, CORPORATE SECRETARY
LINDBERG, CHARLES ALAN (CRD#:3242093), SHAREHOLDER
OAKES, EVELYN MARION (CRD#:6329811), SHAREHOLDER
ROBERTS, DAVID BRUCE, CHAIRMAN, DIRECTOR, SHAREHOLDER,VICE PRESIDENT
SAWTELLE, STEPHEN BARRA (CRD#:705584), DIRECTOR, SHAREHOLDER
SIMPSON, JAMES J (CRD#:2204191), EXECUTIVE VICE PRESIDENT,DIRECTOR
WESTCOMB, NATHAN DAVID (CRD#:6342420), 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 Ausdal Financial Partners 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
ROBERT B. AUSDAL & CO. INC., ROBERT B. AUSDAL & CO. INC.
