Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with H C Wainwright & Co.. If you suffered losses investing with H C Wainwright & Co., then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
H C Wainwright & Co. (CRD# 375) (SEC# 8-43115)
As of April 4, 2020, H C Wainwright & Co.’s FINRA BrokerCheck Report contains the following:
14 Regulatory Event Disclosures
Main Office Location
430 PARK AVENUE
4TH FLOOR
NEW YORK, NY 10022
UNITED STATES
Mailing Address
430 PARK AVENUE
4TH FLOOR
NEW YORK, NY 10022
UNITED STATES
Business Telephone Number
212-356-0500
Direct Owners and Executive Officers
HCWHC INC, SHAREHOLDER
KIRSCH, KENNETH JOHN (CRD#:1671480), FINOP
KIRSCH, KENNETH JOHN (CRD#:1671480), CFO
SILVERA, EDWARD DAVID (CRD#:6216348), CHIEF OPERATIONS OFFICER
VIKLUND, MARK WILLIAM (CRD#:1995158), CEO
YANOW, JONATHAN TODD (CRD#:6516303), 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 H C Wainwright & Co. 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
RODMAN & RENSHAW, RODMAN & RENSHAW
