Capitol Securities Management – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Capitol Securities Management. If you suffered losses investing with Capitol Securities Management, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Capitol Securities Management (CRD# 14169) (SEC# 8-30353)
As of August 24, 2016, Capitol Securities Management’s FINRA BrokerCheck Report contains the following:
7 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
100 CONCOURSE BLVD
SUITE 101
GLEN ALLEN, VA 23059
Mailing Address
100 CONCOURSE BLVD
SUITE 101
GLEN ALLEN, VA 23059
Business Telephone Number
804-592-4380
Direct Owners and Executive Officers
CS FINANCIAL GROUP INC. – HOLDING COMPANY
DONLIN, JAMES J (CRD# 2579395) – CHIEF OPERATING OFFICER
GOFF, LIA BETTENHAUSEN (CRD# 2508087) – CFO
HALLBERG, KATHERINE ROSE (CRD# 5016264) – CHIEF COMPLIANCE OFFICER
HAMBY, GEORGE MARK (CRD# 2257565) – PRESIDENT
JIANOS, JOSEPH ARISTOTLE (CRD# 1374020) – CHAIRMAN & CEO
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 Capitol Securities Management 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.
