Did you suffer investment losses with KCD Financial (CRD# 127473) (SEC# 801-110069, 8-66005)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with KCD Financial. If you suffered losses investing with KCD Financial, 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, KCD Financial’s FINRA BrokerCheck Report contains the following:
4 Regulatory Event Disclosures
Main Office Location
3061 ALLIED STREET
SUITE B
GREEN BAY, WI 54304
USA
Mailing Address
3061 ALLIED STREET
SUITE B
GREEN BAY, WI 54304
USA
Business Telephone Number
920-347-3400
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.
KCD Financial’s Direct Owners and Executive Officers
FREEDOM SECURITIES, INC., COMMON SHAREHOLDER
PRANGE, HENRY CARL IV (CRD#:2847753), COMMON SHAREHOLDER
BLUMENSCHEIN, JOEL REID (CRD#:1372334), FINOP
BLUMENSCHEIN, JOEL REID (CRD#:1372334), PRESIDENT
WILSON, DAVID SCOTT (CRD#:1895701), CHIEF COMPLIANCE OFFICER
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 KCD Financial 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
A4 CAPITAL MANAGEMENT,ARNHOLT INSURANCE AGENCY,AVR FINANCIAL LLC,BEACON FINANCIAL SERVICES,BENEFITS PLUS,BRADLE INVESTMENT GROUP,CENTRAL FINANCIAL LLC,CENTRAL FINANCIAL SERV OF MO, INC.,CENTRAL FINANCIAL SERVICES OF MISSOURI, INC,CHEN,CHOOSRI LAO FINANCIAL SERVICES,CHRISTOPHER C. FESS,CORNERSTONE FINANCIAL STRATEGIES,CR FINANCIAL GROUP,DEWITT & DUNN,DLR INVESTMENTS,DUNN FINANCIAL GROUP,E TAX CORPORATION,ELIASON INVESTMENTS,ERIC WALTZ FINANCIAL SOLUTIONS, INC.,FAMILY FINANCIAL,FESS FINANCIAL,FIRST PLAN FINANCIAL SERVICES, LLC,FUTURE FINANCIAL,GO GREAT LAKES FINANCIAL, INC.,H & B FINANCIAL GROUP, INC.,HARRIS FINANCIAL,HERITAGE BENEFITS,HOWELL & ASSOCIATES ADVANCED PLANNING LLC,INTEGER FINANCIAL SVS.,INTEGRITY INVESTMENTS, INC.,INTEGRITY RETIREMENT PLANS,J G WEALTH MANAGEMENT,JEWELL FINANCIAL SERVICES, INC.,K OATEN FINANCIAL GROUP,KCD FINANCIAL, INC.,KEATING AND ASSOCIATES,LAWRENCE FINANCIAL SERVICES, LLC,MACHTAN FINANCIAL SERVICES GROUP, MAINSTREAM FINANCIAL, MIDWEST ADVANCED PLANNING GROUP, MY ADVISOR FINANCIAL, INC, NICOLET INVESTMENT CENTER, OAK BROOK BENEFIT RESOURCES, PAPPAS WEALTH MANAGEMENT, PULSE FINANCIAL SERVICES, R F FINANCIAL, R. L. DAIL INVESTMENTS LLC, REALTY CAPITAL PARTNERS, LLC, SACKS GROUP, INC., SAFE RETIREMENT ADVOCATES, LLC, SCHUMACHER INVESTMENTS AND MORTGAGE FIRM, SCP CAPITAL MANAGEMENT, SENIOR RESOURCE CONSULTANTS, STEVENS INVESTMENT SERVICES, STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC., SUN CITIES FINANCIAL GROUP, THE STEFFEN INVESTMENT CO., INC., TUTTLE FINANCIAL, VOGEL FINANCIAL SERVICES, W. D. GUERRE & ASSOCIATES, WALLACE FINANCIALS, WESTMONT FINANCIAL, A4 CAPITAL MANAGEMENT,ARNHOLT INSURANCE AGENCY,AVR FINANCIAL LLC,BEACON FINANCIAL SERVICES,BENEFITS PLUS,BRADLE INVESTMENT GROUP,CENTRAL FINANCIAL LLC,CENTRAL FINANCIAL SERV OF MO, INC.,CENTRAL FINANCIAL SERVICES OF MISSOURI, INC,CHEN,CHOOSRI LAO FINANCIAL SERVICES,CHRISTOPHER C. FESS,CORNERSTONE FINANCIAL STRATEGIES,CR FINANCIAL GROUP,DEWITT & DUNN,DLR INVESTMENTS,DUNN FINANCIAL GROUP,E TAX CORPORATION,ELIASON INVESTMENTS,ERIC WALTZ FINANCIAL SOLUTIONS, INC.,FAMILY FINANCIAL,FESS FINANCIAL,FIRST PLAN FINANCIAL SERVICES, LLC,FUTURE FINANCIAL,GO GREAT LAKES FINANCIAL, INC.,H & B FINANCIAL GROUP, INC.,HARRIS FINANCIAL,HERITAGE BENEFITS,HOWELL & ASSOCIATES ADVANCED PLANNING LLC,INTEGER FINANCIAL SVS.,INTEGRITY INVESTMENTS, INC.,INTEGRITY RETIREMENT PLANS,J G WEALTH MANAGEMENT,JEWELL FINANCIAL SERVICES, INC.,K OATEN FINANCIAL GROUP,KCD FINANCIAL, INC.,KEATING AND ASSOCIATES,LAWRENCE FINANCIAL SERVICES, LLC,MACHTAN FINANCIAL SERVICES GROUP, MAINSTREAM FINANCIAL, MIDWEST ADVANCED PLANNING GROUP, MY ADVISOR FINANCIAL, INC, NICOLET INVESTMENT CENTER, OAK BROOK BENEFIT RESOURCES, PAPPAS WEALTH MANAGEMENT, PULSE FINANCIAL SERVICES, R F FINANCIAL, R. L. DAIL INVESTMENTS LLC, REALTY CAPITAL PARTNERS, LLC, SACKS GROUP, INC., SAFE RETIREMENT ADVOCATES, LLC, SCHUMACHER INVESTMENTS AND MORTGAGE FIRM, SCP CAPITAL MANAGEMENT, SENIOR RESOURCE CONSULTANTS, STEVENS INVESTMENT SERVICES, STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC., SUN CITIES FINANCIAL GROUP, THE STEFFEN INVESTMENT CO., INC., TUTTLE FINANCIAL, VOGEL FINANCIAL SERVICES, W. D. GUERRE & ASSOCIATES, WALLACE FINANCIALS, WESTMONT FINANCIAL
