Equity Services – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Equity Services. If you suffered losses investing with Equity Services, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Equity Services (CRD# 265) (SEC# 8-14286)
As of September 12, 2016, Equity Services’s FINRA BrokerCheck Report contains the following:
7 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
ONE NATIONAL LIFE DRIVE
MONTPELIER, VT 05604
Mailing Address
ONE NATIONAL LIFE DRIVE
MONTPELIER, VT 05604
Business Telephone Number
800-344-7437
Direct Owners and Executive Officers
NLV FINANCIAL CORPORATION – SHAREHOLDER
ASSADI, MEHRAN (CRD# 5270638) – DIRECTOR & CHAIRMAN OF THE BOARD
BLALOCK, PAMELA NEWCOMB (CRD# 4951558) – DIRECTOR
COTTON, ROBERT EARL (CRD# 3085405) – DIRECTOR
KUCINSKAS, ERIC KEITH (CRD# 6072823) – VP, FINANCE AND FINOP
MCKENNY, IAN ANDREW (CRD# 5352951) – COUNSEL & SECRETARY
REIHL, LANCE ALAN (CRD# 828685) – CEO, PRESIDENT, ROSFP
RYDER, TIMOTHY VAN (CRD# 3096529) – SVP, OPERATIONS
SPEIRS, ANDREW ROBERT (CRD# 6003967) – CHIEF INFORMATION SECURITY OFFICER
TEESE, GREGORY DWIGHT (CRD# 2135269) – SR. VICE PRESIDENT, COMPLIANCE & CHIEF COMPLIANCE OFFICER
WOOD, JEFFREY (CRD# 2402574) – SR. VICE PRESIDENT, BUSINESS DEVELOPMENT AND ADVISORY SERVICES
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 Equity Services 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.
