Girard Securities – Investor Alert
UPDATE: Girard Securities has been acquired by Cetera Advisor Network.
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Girard Securities. If you suffered losses investing with Girard Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Girard Securities (CRD# 18697) (SEC# 8-36920)
As of September 8, 2016, Girard Securities’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
9560 WAPLES STREET
SUITE B
SAN DIEGO, CA 92121
Mailing Address
9560 WAPLES STREET
SUITE B
SAN DIEGO, CA 92121
Business Telephone Number
858-622-2140
Direct Owners and Executive Officers
CHARGERS ACQUISITION LLC – SHAREHOLDER
BALLARD, JAMES DAVID (CRD# 1714327) – VP
BARRAGAN, JOHN ARTHUR III (CRD# 2941942) – PRESIDENT/COO
BOROWSKI, LUANNE MARIE (CRD# 2310126) – ADVISORY CCO
HARRISON, BRETT LAMAR (CRD# 4032238) – DIRECTOR
JACOBSEN, BRYAN K (CRD# 3055957) – B-D CCO, SECRETARY
KLICMAN, SHIRLEY ANNE (CRD# 1771713) – VP
OLSON, GREGORY ALAN (CRD# 2692482) – ASST. SECRETARY
ROGERS, JASON DYLAN (CRD# 2641674) – SENIOR EXECUTIVE VP
ROTH, RALPH LAWRENCE (CRD# 1432179) – DIRECTOR
SHERROD, TRACI LYNN (CRD# 4321192) – AVP
SMILEY, STANLEY ROBERT (CRD# 3004604) – VP
TIETJEN, MARGARET SUSAN (CRD# 1294862) – CHIEF EXECUTIVE OFFICER/ DIRECTOR
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 Girard Securities 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.
