Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Benjamin F Edwards & Company. If you suffered losses investing with Benjamin F Edwards & Company, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Benjamin F Edwards & Company (CRD# 146936) (SEC# 801-71421, 8-68023)
As of April 4, 2020, Benjamin F Edwards & Company’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
ONE NORTH BRENTWOOD BLVD, SUITE 850
ST. LOUIS, MO 63105
USA
Mailing Address
ONE NORTH BRENTWOOD BLVD, SUITE 850
ST. LOUIS, MO 63105
USA
Business Telephone Number
314-726-1600
Direct Owners and Executive Officers
BENJAMIN EDWARDS, INC., OWNER
ALTENBERGER, MARTIN WADE (CRD#:1230104), DIRECTOR/DIRECTOR OF BRANCHES
BAUMANN, NEAL JAMES (CRD#:1480636), DIRECTOR/REGIONAL DIRECTOR
BOHME, CYNTHIA LYN (CRD#:1079852), DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF STAFF DIVISION
BRANDSTADT, TODD HEINRICH (CRD#:2631699), DIRECTOR
COLE, EDGAR ALLEN II (CRD#:2362072), DIRECTOR/DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL
DELINIERE, ROLAND HAROLD (CRD#:1038322), DIRECTOR/REGIONAL DIRECTOR
EDWARDS, BENJAMIN FRANKLIN IV (CRD#:1061490), CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT
FELLOWS, MARK PATTERSON (CRD#:1600661), DIRECTOR/REGIONAL DIRECTOR
HANSON, DAVID WILLIAM (CRD#:715793), DIRECTOR
KELLER, CHRISTOPHER M (CRD#:4346617), DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS
MARTIN, THOMAS HAYDEN JR (CRD#:1459719), DIRECTOR/CHIEF FINANCIAL OFFICER
POWELL, LOIS MARIE MOORE (CRD#:1392690), DIRECTOR/DIRECTOR OF BRANCH DEVELOPMENT
ROMACK, MALISSA E (CRD#:2367758), DIRECTOR
RUBENSTEIN, DOUGLAS DAVID (CRD#:1138380), DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS
SCHERMERHORN, CRAIG ROBERT (CRD#:824788), DIRECTOR
WELKER, JOANNE MARIE (CRD#:2300075), DIRECTOR/MANAGER ADVISORY SERVICES
WHITING, CHRISTOPHER MARK (CRD#:2242513), DIRECTOR OF SALES & MARKETING
WISDOM, BILLY JOE (CRD#:1810908), DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES, 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 Benjamin F Edwards & 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.
