Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Brendan Flick. If you suffered losses investing with Brendan Flick, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Brendan Flick (CRD# 6130327)
As of April 17, 2020, Brendan Flick’s FINRA BrokerCheck Report contains the following:
Disclosure Events
1 Regulatory Event(s)
1 Employment Separation After Allegations
UPDATE 4/17/2020: According to FINRA’s January 2020 Disciplinary Actions: “Brendan James Flick (CRD #6130327, Orlando, Florida) November 4, 2019 – An AWC was issued in which Flick was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Flick consented to the sanctions and to the entry of findings that he copied and pasted the signature of a customer on wire transfer authorization forms without permission. The findings stated that the transactions were quarterly distributions to the customer’s account or to accounts belonging to her children, authorized by and done at her instruction, and ranged in value from $15,000 to $139,009. After personnel at Flick’s member firm discovered the altered wire transfer forms during a routine branch examination, he inaccurately denied his involvement and suggested that the customer’s son photocopied her signature to assist with the paperwork. The suspension is in effect from November 4, 2019, through February 3, 2020. (FINRA Case #2019062550101)”
Current and Previous Registrations
10/01/2014 – 05/08/2019 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) WINTER PARK, FL
01/09/2014 – 10/01/2014 CSSC BROKERAGE SERVICES, INC. (CRD#:141630) TROY, MI
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 Brendan Flick 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.
