Feltl & Company – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Feltl & Company. If you suffered losses, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Feltl & Company (CRD# 6905) (SEC# 8-18435)
As of August 24, 2016, Feltl & Company’s FINRA BrokerCheck Report contains the following:
10 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
2100 LASALLE PLAZA
800 LASALLE AVENUE
MINNEAPOLIS, MN 55402
Mailing Address
2100 LASALLE PLAZA
800 LASALLE AVENUE
MINNEAPOLIS, MN 55402
Business Telephone Number
(612) 492-8800
Direct Owners and Executive Officers
FELTL, JOHN CHRISTOPHER (CRD# 2366353) – CEO
MARY JOANNE FELTL IRREVOCABLE JCF TRUST – SHAREHOLDER
EDWARDS, MITCHELL JAY (CRD# 4127796) – COO, CORP SECRETARY
FELTL, MARY JOANNE (CRD# 2055810) – PRESIDENT
SCHIERMAN, MICHAEL BERNARD (CRD# 2353419) – CFO, TRUSTEE OF MARY JOANNE FELTL IRREVOCABLE JCF TRUST
VAN KREVELEN, DIRK GARRET (CRD# 1289150) – 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 Feltl & Company 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.
