Did you suffer investment losses with Harbour Investments (CRD# 19258) (SEC# 801-29185, 8-37373)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Harbour Investments. If you suffered losses investing with Harbour Investments, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of June 6, 2020, Harbour Investments’s FINRA BrokerCheck Report contains the following:
3 Regulatory Event Disclosures
6 Bond Disclosures
Main Office Location
575 D’ONOFRIO DRIVE
SUITE 300
MADISON, WI 53719
UNITED STATES
Mailing Address
575 D’ONOFRIO DRIVE
SUITE 300
MADISON, WI 53719
UNITED STATES
Business Telephone Number
608-662-6100
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Harbour Investments’s Direct Owners and Executive Officers
SONDEL, NICK WILLIAM (CRD#:1261064), CHIEF EXECUTIVE OFFICER
DUSHEK, JAMES WALTER (CRD#:4323103), VICE PRESIDENT OF OPERATIONS
HAGER, AARON MICHAEL (CRD#:5017811), PRESIDENT
MEYER, RHONDA LEE (CRD#:2285226), SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP
O’LEARY, RICHARD ARTHUR III (CRD#:3278721), VICE PRESIDENT & CHIEF COMPLIANCE OFFICER
WIPPERFURTH, DANIEL THOMAS (CRD#:4029404), VICE PRESIDENT OF ADVISOR DEVELOPMENT
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker-dealers 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. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Harbour Investments 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
3 RIVERS INVESTMENT ADVISORS LLC, AERIE PREFERRED FINANCIAL GROUP, AHLERS & STOLL WEALTH MANAGEMENT, ALONGI SANTAS FINANCIAL, ARNOLD AND COMPANY, ASCENT FINANCIAL, BEACON WEALTH MANAGEMENT, BEN C. KAUFMANN, BENCHMARK FINANCIAL ADVISORS, LLC, BEST INVESTING & TAX, BEVERLY HICKS & ASSOCIATES, BLOCK FINANCIAL LLC, BODIN FINANCIAL SERVICES, BOUTIQUE WEALTH MANAGEMENT, BRAD BARNETT, BRANDT WEALTH ADVISORS, BRIDGEPORT INVESTMENTS, BROCK WEAVER, BROOKHILL FINANCIAL, LLC, BRUNER FINANCIAL SERVICES, INC., BURNHAM & FLOWER, BURNS BROTHERS FINANCIAL GROUP, BUSBEE WEALTH STRATEGIES, LLC, BUSINESS & ESTATE ADVANTAGES, CADE FINANCIAL SERVICES, CAMELBACK WEALTH CONSULTANTS, LLC, CAPITAL FINANCIAL GROUP, S.C., CAPITAL FINANCIAL SERVICES, CAPITAL INVESTMENT SERVICES, CAPITAL WEALTH ADVISORS LTD, CAPITOL SOLUTIONS, INC., CAPSTONE FINANCIAL ADVISORS, CARRIE L. COLE, CATANZARITE FINANCIAL SERVICES INV, CBB INVESTMENT CENTER, CHARLES DAVID LANDIS, CLEARSTEP FINANCIAL, CONFER FINANCIAL SERVICES, COORDINATED FINANCIAL SERVICES, CORNERSTONE WEALTH MANAGEMENT, CRAIG ANDERSON, CRISPIGNA FINANCIAL SERVICES, CRUBEL FINANCIAL SERVICES, CZUKAS, MCCALL & ASSOC., INC., CZUKAS, MCCALL & ASSOCIATES, D. D. CARLSON FINANCIAL GROUP, INC., DELEGGE FINANCIAL SERVICES, INC., DENALI WEALTH MANAGEMENT, DEPREZ FINANCIAL SERVICES, DERBY FINANCIAL & ASSOCIATES, DEREMER AGENCY, DIVERSIFIED FINANCIAL ADVISORS, DIVERSIFIED FINANCIAL CONCEPTS, DMB INVESTMENT CENTER, DSB INVESTMENT CENTER, DUES WEALTH MANAGEMENT LLC, DWIGHT KIMBER, E2 RETIREMENT CONSULTING, EDGE FINANCIAL SERVICES LLC,EQUITY ENTERPRISES, INC., ERIC BRINEN, ESCH ADVISORS, ESTATE MANAGEMENT & SERVICES S.C., EXTENDED PERSONAL SERVICE, LTD, FINANCIAL CONSULTING SERVICES, FINANCIAL INNOVATIONS, LLC, FINANCIAL PLANNING GROUP, LLC, FINANCIAL RESOURCES, FINANCIAL SERVICES OF WINONA, FINANCIAL SOLUTIONS & INVESTMENTS, FIRST RATE FINANCIAL, FORESIGHT FINANCIAL, FOSTER FINANCIAL SERVICES, LLC, FRANKE MARTENS GROUP, FRANKLIN FINANCIAL CONSULTING, GERALD MILLER, GLOBAL FINANCIAL GROUP, GLP WEALTH MANAGEMENT, GOLDEN FINANCIAL SERVICES, INC, GRACZYK DIJAK FINANCIAL, GREEN MOUNTAIN WEALTH STRATEGIES, GTLENCKE WEALTH MGT, LLC, HARBOUR INVESTMENTS, INC., HAREZLAK FINANCIAL GROUP LLC, HEDGE FINANCIAL SERVICES LLC, HH FINANCIAL PLANNING GROUP, HILL & ASSOCIATES INC, HILL COUNTRY FINANCIAL INVESTMENTS, IMI FINANCIAL CONSULTANTS, INC., INCOME PLANNING GROUP, LLC, INNOVATIVE FINANCIAL INC, INTEGRITY FINANCIAL ADVISORS LLC, INTEGRITY INVESTMENTS, INVESTMENT CENTER, INVESTMENT PLUS, INVESTMENTS & RETIREMENT CONSULTING GROUP, J & S PARTNERS, INC., JAMES D. ZIFER JR., JAMES WEALTH MANAGEMENT GROUP, JDN FINANCIAL, JERROLD S. WICENTOWSKI, JERRY JORDAHL, JG WEALTH MANAGEMENT, JMJ RETIREMENT SOLUTIONS, JOEL GUTHMANN, JOHN AUGUSTIN & ASSOCIATES, LLC, JOHN PATRICK PLANNING GROUP LLC, JOHN R MUELLER, JOHNSON & WACHHOLZ FINANCIAL SERVICES, JOSEPH BUTORAC, JOSEPH L YARD, KATHERINE STIENESSEN FINANCIAL ADVISOR, KAY STIENESSEN, KEN RUMBAUGH INC, KEVIN FINN, KEYSTONE FINANCIAL GROUP, KIM I. MARSHALL, KIMMEL FINANCIAL, KING FINANCIAL, KIRSCH FINANCIAL, INC., KISS FINANCIAL SERVICES, KLAUKE FINANCIAL & INSURANCE SERVICES, KLUTTZ FINANCIAL PARTNERS, KNIBBE FINANCIAL INC, KNIBBE INVESTMENT MANAGEMENT LLC, KOVALSKI FINANCIAL SERVICES, LLC, LAKELAND FINANCIAL SERVICES, LAKES AND PLAINS ADVISORS, LAKIS INVESTMENTS INC, LEBARON FINANCIAL GROUP, LEGACY INVESTMENTS & INSURANCE SERVICES, LEGACY INVESTMENTS & INSURANCE SERVICES LLC, LORENCE & VANDERZWART, LP FINANCIAL SERVICES LLC, MAINSTREET FINANCIAL GROUP, MARK R VANCE, MARK VENDEN, MARK W. KROLL, MARSHALL FINANCIAL GROUP, MATT NIERMEYER, MENNENGA TAX & FINANCIAL SERVICES, MERAKI WEALTH MANAGEMENT, MGA WEALTH MANAGEMENT, MICHAEL FINANCIAL CONSULTING, MS FINANCIAL, NELSON FINANCIAL SERVICES, NEUFELD CAPITAL MANAGEMENT, NEW EAGLE WEALTH MANAGEMENT, NORTHWOODS RETIREMENT SERVICES, NUVISTA CAPITAL MANAGEMENT, OOSTBURG FINANCIAL SERVICES LLC, OSHEFSKY FINANCIAL SERVICES, PDI FINANCIAL GROUP, 3 RIVERS INVESTMENT ADVISORS LLC, AERIE PREFERRED FINANCIAL GROUP, AHLERS & STOLL WEALTH MANAGEMENT, ALONGI SANTAS FINANCIAL, ARNOLD AND COMPANY, ASCENT FINANCIAL, BEACON WEALTH MANAGEMENT, BEN C. KAUFMANN, BENCHMARK FINANCIAL ADVISORS, LLC, BEST INVESTING & TAX, BEVERLY HICKS & ASSOCIATES, BLOCK FINANCIAL LLC, BODIN FINANCIAL SERVICES, BOUTIQUE WEALTH MANAGEMENT, BRAD BARNETT, BRANDT WEALTH ADVISORS, BRIDGEPORT INVESTMENTS, BROCK WEAVER, BROOKHILL FINANCIAL, LLC, BRUNER FINANCIAL SERVICES, INC., BURNHAM & FLOWER, BURNS BROTHERS FINANCIAL GROUP, BUSBEE WEALTH STRATEGIES, LLC, BUSINESS & ESTATE ADVANTAGES, CADE FINANCIAL SERVICES, CAMELBACK WEALTH CONSULTANTS, LLC, CAPITAL FINANCIAL GROUP, S.C., CAPITAL FINANCIAL SERVICES, CAPITAL INVESTMENT SERVICES, CAPITAL WEALTH ADVISORS LTD, CAPITOL SOLUTIONS, INC., CAPSTONE FINANCIAL ADVISORS, CARRIE L. COLE, CATANZARITE FINANCIAL SERVICES INV, CBB INVESTMENT CENTER, CHARLES DAVID LANDIS, CLEARSTEP FINANCIAL, CONFER FINANCIAL SERVICES, COORDINATED FINANCIAL SERVICES, CORNERSTONE WEALTH MANAGEMENT, CRAIG ANDERSON, CRISPIGNA FINANCIAL SERVICES, CRUBEL FINANCIAL SERVICES, CZUKAS, MCCALL & ASSOC., INC., CZUKAS, MCCALL & ASSOCIATES, D. D. CARLSON FINANCIAL GROUP, INC., DELEGGE FINANCIAL SERVICES, INC., DENALI WEALTH MANAGEMENT, DEPREZ FINANCIAL SERVICES, DERBY FINANCIAL & ASSOCIATES, DEREMER AGENCY, DIVERSIFIED FINANCIAL ADVISORS, DIVERSIFIED FINANCIAL CONCEPTS, DMB INVESTMENT CENTER, DSB INVESTMENT CENTER, DUES WEALTH MANAGEMENT LLC, DWIGHT KIMBER, E2 RETIREMENT CONSULTING, EDGE FINANCIAL SERVICES LLC,EQUITY ENTERPRISES, INC., ERIC BRINEN, ESCH ADVISORS, ESTATE MANAGEMENT & SERVICES S.C., EXTENDED PERSONAL SERVICE, LTD, FINANCIAL CONSULTING SERVICES, FINANCIAL INNOVATIONS, LLC, FINANCIAL PLANNING GROUP, LLC, FINANCIAL RESOURCES, FINANCIAL SERVICES OF WINONA, FINANCIAL SOLUTIONS & INVESTMENTS, FIRST RATE FINANCIAL, FORESIGHT FINANCIAL, FOSTER FINANCIAL SERVICES, LLC, FRANKE MARTENS GROUP, FRANKLIN FINANCIAL CONSULTING, GERALD MILLER, GLOBAL FINANCIAL GROUP, GLP WEALTH MANAGEMENT, GOLDEN FINANCIAL SERVICES, INC, GRACZYK DIJAK FINANCIAL, GREEN MOUNTAIN WEALTH STRATEGIES, GTLENCKE WEALTH MGT, LLC, HARBOUR INVESTMENTS, INC., HAREZLAK FINANCIAL GROUP LLC, HEDGE FINANCIAL SERVICES LLC, HH FINANCIAL PLANNING GROUP, HILL & ASSOCIATES INC, HILL COUNTRY FINANCIAL INVESTMENTS, IMI FINANCIAL CONSULTANTS, INC., INCOME PLANNING GROUP, LLC, INNOVATIVE FINANCIAL INC, INTEGRITY FINANCIAL ADVISORS LLC, INTEGRITY INVESTMENTS, INVESTMENT CENTER, INVESTMENT PLUS, INVESTMENTS & RETIREMENT CONSULTING GROUP, J & S PARTNERS, INC., JAMES D. ZIFER JR., JAMES WEALTH MANAGEMENT GROUP, JDN FINANCIAL, JERROLD S. WICENTOWSKI, JERRY JORDAHL, JG WEALTH MANAGEMENT, JMJ RETIREMENT SOLUTIONS, JOEL GUTHMANN, JOHN AUGUSTIN & ASSOCIATES, LLC, JOHN PATRICK PLANNING GROUP LLC, JOHN R MUELLER, JOHNSON & WACHHOLZ FINANCIAL SERVICES, JOSEPH BUTORAC, JOSEPH L YARD, KATHERINE STIENESSEN FINANCIAL ADVISOR, KAY STIENESSEN, KEN RUMBAUGH INC, KEVIN FINN, KEYSTONE FINANCIAL GROUP, KIM I. MARSHALL, KIMMEL FINANCIAL, KING FINANCIAL, KIRSCH FINANCIAL, INC., KISS FINANCIAL SERVICES, KLAUKE FINANCIAL & INSURANCE SERVICES, KLUTTZ FINANCIAL PARTNERS, KNIBBE FINANCIAL INC, KNIBBE INVESTMENT MANAGEMENT LLC, KOVALSKI FINANCIAL SERVICES, LLC, LAKELAND FINANCIAL SERVICES, LAKES AND PLAINS ADVISORS, LAKIS INVESTMENTS INC, LEBARON FINANCIAL GROUP, LEGACY INVESTMENTS & INSURANCE SERVICES, LEGACY INVESTMENTS & INSURANCE SERVICES LLC, LORENCE & VANDERZWART, LP FINANCIAL SERVICES LLC, MAINSTREET FINANCIAL GROUP, MARK R VANCE, MARK VENDEN, MARK W. KROLL, MARSHALL FINANCIAL GROUP, MATT NIERMEYER, MENNENGA TAX & FINANCIAL SERVICES, MERAKI WEALTH MANAGEMENT, MGA WEALTH MANAGEMENT, MICHAEL FINANCIAL CONSULTING, MS FINANCIAL, NELSON FINANCIAL SERVICES, NEUFELD CAPITAL MANAGEMENT, NEW EAGLE WEALTH MANAGEMENT, NORTHWOODS RETIREMENT SERVICES, NUVISTA CAPITAL MANAGEMENT, OOSTBURG FINANCIAL SERVICES LLC, OSHEFSKY FINANCIAL SERVICES, PDI FINANCIAL GROUP…
