BMO Harris Financial Advisors – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with BMO Harris Financial Advisors. If you suffered losses investing with BMO Harris Financial Advisors, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
BMO Harris Financial Advisors (CRD# 137115) (SEC# 8-67064)
As of September 12, 2016, BMO Harris Financial Advisors’s FINRA BrokerCheck Report contains the following:
6 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
115 S LASALLE STREET
13 W
CHICAGO, IL 60603
Mailing Address
115 S LASALLE STREET
13 W
CHICAGO, IL 60603
Business Telephone Number
877-225-3863
Direct Owners and Executive Officers
BMO FINANCIAL CORP – SHAREHOLDER
BARBER-UHRI, JENNIFER LYNN (CRD# 3052907) – NATIONAL DIRECTOR OF FINANCIAL ADVISORY SERVICES
CRAIN, WILLIAM JOSEPH JR (CRD# 1442590) – VICE PRESIDENT, CHIEF OPERATING OFFICER
DEMAS, AMANDA JANE (CRD# 4067157) – SECRETARY
DOUSMANIS-CURTIS, ALEXANDRA – DIRECTOR
DOWNING, JAMES ROTH (CRD# 5514806) – VICE PRESIDENT CHIEF COMPLIANCE OFFICER
HACKETT, DARREL HARRIS (CRD# 6404383) – CHAIRMAN
HARRIS, WALLACE WILLIAM (CRD# 5828561) – DIRECTOR
JOHNSON, STEPHEN A (CRD# 6628463) – DIRECTOR
JOSEPHSON, STEVEN MARK (CRD# 2239540) – VICE PRESIDENT OF TRADING
LAKE, STEPHANIE ANN (CRD# 5845009) – CHIEF FINANCIAL OFFICER, FIN OP
MESSNICK, KAREN FLORENCE (CRD# 2000686) – VICE PRESIDENT OPERATIONS
MIROBALLI, MICHAEL (CRD# 1545242) – DIRECTOR, PRESIDENT, CEO
OLEARI, SUSAN G – DIRECTOR
TASCONA, REBECCA SUSAN – DIRECTOR
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 BMO Harris Financial Advisors and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
