Client One Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Client One Securities. If you suffered losses investing with Client One Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Client One Securities (CRD# 152974) (SEC# 8-68494)
As of August 24, 2016, Client One Securities’ FINRA BrokerCheck Report contains the following:
0 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
11460 TOMAHAWK CREEK PARKWAY
LEAWOOD, KS 66211
Mailing Address
11460 TOMAHAWK CREEK PARKWAY
LEAWOOD, KS 66211
Business Telephone Number
913-814-6097
Direct Owners and Executive Officers
CREATIVE ONE MARKETING CORPORATION – SOLE MEMBER
KIERNAN, DANIEL FRANCIS (CRD# 1874759) – FINOP
MONEYMAKER, WILLIAM HOLL (CRD# 5759071) – DIRECTOR
MONICAL, SANDRA KAY (CRD# 1395363) – COO
TRIPSES, MICHAEL RICHARD (CRD# 1830164) – DIRECTOR
TUMA, MICHAEL CHARLES (CRD# 1639356) – CEO/CCO/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 Client One Securities 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.
