Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Cape Securities. If you suffered losses investing with Cape Securities, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Cape Securities (CRD# 7072) (SEC# 8-20747)
As of April 4, 2020, Cape Securities’s FINRA BrokerCheck Report contains the following:
2 Regulatory Event Disclosures
Main Office Location
1600 PENNSYLVANIA AVENUE
MCDONOUGH, GA 30253
UNITED STATES
Mailing Address
1600 PENNSYLVANIA AVENUE
MCDONOUGH, GA 30253
UNITED STATES
Business Telephone Number
678-583-1120
Direct Owners and Executive Officers
WEBB, JAMES RANDALL (CRD#:2089446), CHIEF EXECUTIVE OFFICER
CIANTRO, PHILIP GERARD (CRD#:2350685), FINOP
HOCHLER, LESTER JOEL (CRD#:3209012), CCO
JOKELA, JOHN KEVIN (CRD#:5474831), COO, MUNICIPAL PRINCIPAL
WILKERSON, VICTOR PATRICK (CRD#:2854435), PRESIDENT
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 Cape Securities 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.
