Charles Schwab & Co. – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Charles Schwab & Co.. If you suffered losses investing with Charles Schwab & Co., then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Charles Schwab & Co. (CRD# 5393) (SEC# 8-16514)
As of September 12, 2016, Charles Schwab & Co.’s FINRA BrokerCheck Report contains the following:
49 Regulatory Event Disclosures
2 Civil Event Disclosures
257 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
211 MAIN STREET
SAN FRANCISCO, CA 94105
Mailing Address
211 MAIN STREET
SF211MN-06-151
SAN FRANCISCO, CA 94105
Business Telephone Number
415-636-7000
Direct Owners and Executive Officers
SCHWAB HOLDINGS, INC. – 100% OWNER
ARMELI, BARBARA JEAN (CRD# 2029572) – INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER
BETTINGER, WALTER WILLIAM II (CRD# 2915574) – PRESIDENT AND CEO
CARTER, RON SYLVAN (CRD# 1601033) – EVP, OPERATIONAL SERVICES
COOK, SCOTT ANDREW (CRD# 2911396) – BROKER-DEALER CHIEF COMPLIANCE OFFICER
GILKERSON, CHRISTOPHER PAUL (CRD# 3192043) – CHIEF LEGAL OFFICER
MARTINETTO, JOSEPH RAYMOND (CRD# 2996277) – EVP- CHIEF FINANCIAL OFFICER
SCHWAB, CHARLES ROBERT (CRD# 416082) – CHAIRMAN OF THE BOARD
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 Charles Schwab & Co. 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.
