Electronic Transaction Clearing (CRD# 146122) (SEC# 8-67790)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Electronic Transaction Clearing. If you suffered losses investing with Electronic Transaction Clearing, 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, Electronic Transaction Clearing’s FINRA BrokerCheck Report contains the following:
27 Regulatory Event Disclosures
Main Office Location
660 S. FIGUEROA STREET SUITE 1450
LOS ANGELES, CA 90017
Mailing Address
660 S. FIGUEROA STREET SUITE 1450
LOS ANGELES, CA 90017
Business Telephone Number
213-402-1568
Electronic Transaction Clearing’s Direct Owners and Executive Officers
APEX CLEARING HOLDINGS LLC, OWNER
BRENNAN, WILLIAM ROBERT (CRD#:2447538), PRESIDENT, PRINCIPAL FINANCIAL OFFICER
CAPUZZI, WILLIAM WALTER (CRD#:4323894), CEO, CHAIRMAN OF THE BOARD
COPPOLETTA, JAY CHRISTIAN (CRD#:6049053), BOARD MEMBER
DICENSO, DAVID (CRD#:1538474), AMLCO
SPRINGER, CHRISTOPHER MICHAEL (CRD#:1814987), CFO, CAO; FINOP, PRINCIPAL OPERATIONS OFFICER
WISHNIVETSKI, ELI (CRD#:4424907), 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 Electronic Transaction Clearing 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.
Formerly Known As, Aliases, and Affiliates
APEX PRO, APEX PRO
