Investment Centers of America – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Investment Centers of America. If you suffered losses investing with Investment Centers of America, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Investment Centers of America (CRD# 16443) (SEC# 8-33983)
As of September 12, 2016, Investment Centers of America’s FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
0 Civil Event Disclosures
4 Arbitration Disclosures
3 Bond Disclosures
Main Office Location
5555 GRANDE MARKET DRIVE
APPLETON, WI 54913-8403
Mailing Address
P.O. BOX 5097
APPLETON, WI 54912-5097
Business Telephone Number
920-996-2600
Direct Owners and Executive Officers
INVEST FINANCIAL CORPORATION (CRD# 12984) – DIRECT OWNER
AVENA, ALLAN REYES (CRD# 2586030) – VP, ADVISORY SERVICES
CICOTTE, GREGORY PHILIP (CRD# 1208709) – NPH PRESIDENT & CEO/DIRECTOR
COLEMAN, CAREN LESLIE (CRD# 4298287) – VP, NPH PRODUCT & SPONSOR RELATIONS
COLLINS, MAURA KATHRYN (CRD# 4761732) – SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC.
COSTELLO, MICHAEL ALAN (CRD# 6314868) – DIRECTOR
DESMIDT, JON PATRICK (CRD# 2881733) – MUNI PRINCIPAL/AVP INVESTMENT ADVISORY
DOWDEN, STEVEN HOWARD (CRD# 2666894) – EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC.
GUNDERSON, GERRY A (CRD# 2448501) – SVP GENERAL COUNSEL
KALINOWSKI, DAWN MARIE (CRD# 2770565) – FVP OPERATIONS
KOMOSZEWSKI, JAMES ANTHONY (CRD# 2833256) – PRESIDENT/CEO/DIRECTOR
LAMBRECHTS, VANESSA MARIE RODRIGUEZ (CRD# 4800775) – VP, FINOP & CONTROLLER
LOASBY, DAVID ANDREW (CRD# 2581206) – SVP, CHIEF COMPLIANCE OFFICER
MILLER, JAMES PETER (CRD# 1955960) – NPH SVP OPERATIONS
REED, ALISON RUSS (CRD# 3241221) – DIRECTOR
WEISS, DANIEL STUART (CRD# 2735824) – NPH VP DUE DILIGENCE
WRIGHT, DANIEL EUGENE (CRD# 2204732) – NPH SVP 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 Investment Centers of America 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.
