Did you suffer investment losses with DMK Advisor Group (a/k/a Stephen A Kohn & Associates) (CRD# 41067) (SEC# 8-49279)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with DMK Advisor Group (a/k/a Stephen A Kohn & Associates). If you suffered losses investing with DMK Advisor Group (a/k/a Stephen A Kohn & Associates), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, DMK Advisor Group (a/k/a Stephen A Kohn & Associates)’s FINRA BrokerCheck Report contains the following:
3 Regulatory Event Disclosures
Main Office Location
7114 W. JEFFERSON AVE.
SUITE 305
LAKEWOOD, CO 80235
UNITED STATES
Mailing Address
7114 W. JEFFERSON AVE.
SUITE 305
LAKEWOOD, CO 80235
UNITED STATES
Business Telephone Number
303-996-5680
DMK Advisor Group (a/k/a Stephen A Kohn & Associates)’s Direct Owners and Executive Officers
DESAI, JANAK R (CRD#:6307455), DIRECTOR
DOUGLAS, KELVIN RAY (CRD#:4723703), DIRECTOR
MISRA, SUNIL DUTT (CRD#:5617829), DIRECTOR
MORRILL, JOHN EDGAR (CRD#:2133341), DIRECTOR
NORTON, WILLIAM PATRICK JR (CRD#:5006208), DIRECTOR
PEDROSA-MENABRITO, ALBERTO (CRD#:2915919), DIRECTOR
PEREZ, JORGE RAMON (CRD#:2253547), DIRECTOR
SCHWARTZ, HAROLD ALAN (CRD#:841225), DIRECTOR
GALLIGAN, PETER B (CRD#:1873304), FINOP
KOHN, STEPHEN ALAN (CRD#:1267211), PRES/CCO
OHMAN, JOHN DAVID (CRD#:1059085), ROP/CROP
SLACK, NICOLE SCHMIDT (CRD#:1468706), GP/VP
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 DMK Advisor Group (a/k/a Stephen A Kohn & Associates) 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.
