Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Jefferies LLC. If you suffered losses investing with Jefferies LLC, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Jefferies LLC (CRD# 2347) (SEC# 8-15074)
As of April 4, 2020, Jefferies LLC’s FINRA BrokerCheck Report contains the following:
85 Regulatory Event Disclosures
4 Arbitration Disclosures
Main Office Location
520 MADISON AVENUE
16TH FLOOR
NEW YORK, NY 10022
UNITED STATES
Mailing Address
520 MADISON AVENUE
16TH FLOOR
NEW YORK, NY 10022
UNITED STATES
Business Telephone Number
212-284-2300
Direct Owners and Executive Officers
JEFFERIES GROUP LLC, SOLE MEMBER
BROADBENT, PEREGRINE C (CRD#:4129671), CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT AND DIRECTOR
CAGNO, MARK LAWRENCE (CRD#:2510148), HEAD OF OPERATIONS, CONTROLLER, MANAGING DIRECTOR
FORLENZA, PETER CHARLES (CRD#:2366985), SECURITIES TRADER PRINCIPAL
FRIEDMAN, BRIAN PAUL (CRD#:1298550), DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE
HANDLER, RICHARD BRIAN (CRD#:1563245), CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR
SCORAN, LAURI A (CRD#:2060170), CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR
SHARP, MICHAEL JAMES (CRD#:1013864), GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT
STACCONI, JOHN FRANCO (CRD#:1814227), TREASURER
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 Jefferies LLC 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.
