Interactive Brokers – Investor Alert
UPDATE 1/10/17: Interactive Brokers was ordered to pay $1,020,979.80 plus attorneys’ fees of $523,864.65 in a customer dispute this month.
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Interactive Brokers. If you suffered losses investing with Interactive Brokers, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Interactive Brokers (CRD# 36418) (SEC# 47257)
As of January 10, 2017, Interactive Brokers’s FINRA BrokerCheck Report contains the following:
32 Regulatory Event Disclosures
0 Civil Event Disclosures
18 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
One Pickwick Plaza, Second Floor
Greenwich, CT 06830
Mailing Address
One Pickwick Plaza, Second Floor
Greenwich, CT 06830
Business Telephone Number
203-618-5710
Direct Owners and Executive Officers
IBG LLC – MANAGING MEMBER
BATTAN, DAVID MICHAEL (CRD#:4079605) – EXECUTIVE VICE PRESIDENT, LEGAL
BAUCH, JEFFREY ALEXANDER (CRD#:4110351) – ROSFP
BRODY, PAUL JONATHAN (CRD#:1722066) – SECRETARY
CHAIT, JONATHAN (CRD#:4582696) – EXECUTIVE VICE PRESIDENT, COO
CRAMER, SUSAN JOY – TREASURER
FEIST, ARNOLD J (CRD#:1296808)- -CHIEF COMPLIANCE OFFICER
FRIEDLAND, DAVID ERIC (CRD#:2715164) – MANAGING DIRECTOR-ASIAN OPERATIONS
IOFFE, ALEXANDER M (CRD#:4287661) – CHIEF FINANCIAL OFFICER
JACOBOWITZ, BRADFORD L (CRD#:2615208) – VICE PRESIDENT, COMPLIANCE
PETERFFY, THOMAS PECHY (CRD#:1722064) – CEO, PRESIDENT
SANDERS, STEVEN JAY (CRD#:2812548) – SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT
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 Interactive Brokers 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.
