Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Ladenburg Thalmann & Co.. If you suffered losses investing with Ladenburg Thalmann & Co., then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Ladenburg Thalmann & Co. (CRD# 505) (SEC# 8-17230)
As of April 4, 2020, Ladenburg Thalmann & Co.’s FINRA BrokerCheck Report contains the following:
36 Regulatory Event Disclosures
14 Arbitration Disclosures
Main Office Location
277 PARK AVENUE
26TH FLOOR
NEW YORK, NY 10172
UNITED STATES
Mailing Address
277 PARK AVENUE
26TH FLOOR
NEW YORK, NY 10172
UNITED STATES
Business Telephone Number
212-409-2000
Direct Owners and Executive Officers
LADENBURG THALMANN FINANCIAL SERVICES INC., OWNER
BLANCATO, PHILIP SALVATORE (CRD#:2122221), EXECUTIVE VICE PRESIDENT, DIRECTOR
BLUM, PETER HERMAN (CRD#:1212507), CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER
CHILLEMI, DIANE MARIE (CRD#:2916563), PRINCIPAL FINANCIAL OFFICER/CHIEF FINANCIAL OFFICER/SENIOR VICE PRESIDENT/DIRECTOR
GIDEON, MICHAEL R (CRD#:5315304), PRINCIPAL OPERATIONS OFFICER
GIOVANNIELLO, JOSEPH N/A JR (CRD#:3086071), SVP/GENERAL COUNSEL/SECRETARY
MATEICKA, ROBERT CHARLES (CRD#:1049076), CHIEF COMPLIANCE OFFICER/MSRB PRINCIPAL
ROSENBERG, DAVID IRA (CRD#:2687902), CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER, DIRECTOR
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 Ladenburg Thalmann & Co. 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.
