Did you suffer investment losses with Axiom Capital Management, Inc. (CRD# 26580) (SEC# 8-42638)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Axiom Capital Management, Inc.. If you suffered losses investing with Axiom Capital Management, Inc., 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, Axiom Capital Management, Inc.’s FINRA BrokerCheck Report contains the following:
9 Regulatory Event Disclosures
1 Civil Event Disclosures
3 Arbitration Disclosures
Main Office Location
350 FIFTH AVENUE
SUITE 5420
NEW YORK, NY 10118
UNITED STATES
Mailing Address
350 FIFTH AVENUE
SUITE 5420
NEW YORK, NY 10118
UNITED STATES
Business Telephone Number
212-521-3800
Axiom Capital Management, Inc.’s Direct Owners and Executive Officers
DALTON, LIAM FRANCIS (CRD#:1327801), CEO/PRESIDENT
DICHIARA, MARIA (CRD#:1751312), DIRECTOR OF OPERATIONS/EXECUTIVE VP
MILLER, ERIC LEE (CRD#:2200698), CCO/CROP/ROSFP/ROP/MUNICIPAL PRINCIPAL
RICHARD, NEAL MICHAEL (CRD#:2601802), HEAD TRADER
WRIGHT, DAVID CHARLES (CRD#:6023564), FINOP
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 Axiom Capital Management, Inc. 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
DLM HOLDINGS INC., DLM HOLDINGS INC.
