Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Citizens Securities (f/k/a CCO Investment Services). If you suffered losses investing with Citizens Securities (f/k/a CCO Investment Services), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Citizens Securities (f/k/a CCO Investment Services) (CRD# 39550) (SEC# 801-61902, 8-48744)
As of April 4, 2020, Citizens Securities’s (f/k/a CCO Investment Services) FINRA BrokerCheck Report contains the following:
16 Regulatory Event Disclosures
5 Arbitration Disclosures
Main Office Location
770 LEGACY PLACE
MLP240
DEDHAM, MA 02026
UNITED STATES
Mailing Address
45 DAN ROAD
MCD340
CANTON, MA 02021
UNITED STATES
Business Telephone Number
781-364-1641
Direct Owners and Executive Officers
CITIZENS BANK, N.A., DIRECT OWNERSHIP
CARVALHO, KEVIN JOHN (CRD#:6115556), CHIEF FINANCIAL OFFICER
DUNLAP, PETER AUSTIN (CRD#:2220292), PRESIDENT
HOWARD, ROBERT MICHAEL (CRD#:4647114), EXECUTIVE VICE PRESIDENT – DIRECTOR OF OPERATIONS
SEIDL, LAWRENCE (CRD#:2877717), DIRECTOR OF SALES
SHORE, DAVID HOWARD (CRD#:2106767), CHIEF COMPLIANCE OFFICER
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 Citizens Securities (f/k/a CCO Investment Services) 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.
