Cuna Brokerage Services, Inc. – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Cuna Brokerage Services, Inc.. If you suffered losses investing with Cuna Brokerage Services, Inc., then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Cuna Brokerage Services, Inc. (CRD# 13941) (SEC# 8-30027)
As of September 12, 2016, Cuna Brokerage Services, Inc.’s FINRA BrokerCheck Report contains the following:
2 Regulatory Event Disclosures
0 Civil Event Disclosures
7 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
2000 HERITAGE WAY
WAVERLY, IA 50677
Mailing Address
2000 HERITAGE WAY
WAVERLY, IA 50677
Business Telephone Number
319-352-4090
Direct Owners and Executive Officers
CUNA MUTUAL INVESTMENT CORPORATION – OWNER
ANDERSON, MICHAEL FRANK (CRD# 6607015) – DIRECTOR
BOSCO, MICHAEL JEFFREY (CRD# 4297527) – DIRECTOR
DEFNET, MICHAEL TODD (CRD# 2163921) – DIRECTOR
HALEVAN, TIMOTHY SULLIVAN (CRD# 2288721) – VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
HANSEN, ROSS DRECHSEL (CRD# 1277867) – VICE PRESDENT, ASSOCIATE GENERAL COUNSEL
NIEMEC, MICHELLE NICOLE (CRD# 6169572) – TREASURER
PISARIK, JASON ALAN (CRD# 6147437) – DIRECTOR
SULESKI, STEVEN R (CRD# 4360636) – SECRETARY, DIRECTOR
THOMPSON, KEVIN S (CRD# 5211343) – 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 Cuna Brokerage Services, Inc. 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.
