Did you lose money investing with Frank Neese (CRD# 871154)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Frank Neese. If you suffered losses investing with Frank Neese, 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 24, 2020, Frank Neese’s FINRA BrokerCheck Report contains the following:
Disclosure Events
2 Customer Dispute(s)
Current and Previous Registrations
10/16/1998 – PRESENT INDIANA SECURITIES, LLC (CRD#:45115) INDIANAPOLIS, IN
01/01/1998 – 12/31/1998 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
09/19/1979 – 12/31/1997 TRAUB AND COMPANY, INC. (CRD#:4904) INDIANAPOLIS, IN
Due Diligence Requirement
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.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Frank Neese 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.
