Did you suffer investment losses with Innovation Partners (CRD# 146344) (SEC# 801-78702, 8-67812)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Innovation Partners. If you suffered losses investing with Innovation Partners, 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 4, 2020, Innovation Partners’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
5950 FAIRVIEW ROAD
SUITE 140
CHARLOTTE, NC 28210
Mailing Address
5950 FAIRVIEW ROAD
SUITE 140
CHARLOTTE, NC 28210
Business Telephone Number
704-708-5461
Innovation Partners’s Direct Owners and Executive Officers
E STRICKER HOLDINGS LLC, STOCKHOLDER
ANAGENISIS INVESTMENT HOLDINGS LLC, STOCK HOLDER
JIAO, LEI (CRD#:6407162), CO-PRESIDENT, CHIEF FINANCIAL PRINCIPAL AND RIA CHIEF COMPLIANCE OFFICER
SMITH, GREGORY EARL (CRD#:1252027), CCO AND MUNICIPAL SECURITIES PRINCIPAL
SMITH, GREGORY EARL (CRD#:1252027), CO-PRESIDENT
UYESUGI, LAUREN ARNETT (CRD#:2889864), COMPLIANCE PRINCIPAL
VORENBERG, THOMAS JOSEPH (CRD#:1589190), COMPLIANCE PRINCIPAL
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 Innovation Partners 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
DEEMER WEALTH MANAGEMENT, DEEMER WEALTH MANAGEMENT
