Did you suffer investment losses with Mizuho Securities USA (a/k/a Fuji Securities, Kleinwort Benson Government Securities) (CRD# 19647) (SEC# 8-37710)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Mizuho Securities USA (a/k/a Fuji Securities, Kleinwort Benson Government Securities). If you suffered losses investing with Mizuho Securities USA (a/k/a Fuji Securities, Kleinwort Benson Government Securities), 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 September 9, 2020, Mizuho Securities USA (a/k/a Fuji Securities, Kleinwort Benson Government Securities)’s FINRA BrokerCheck Report contains the following:
10 Regulatory Event Disclosures
1 Civil Event Disclosures
Main Office Location
1271 AVENUE OF THE AMERICAS
FLOORS – 2,3,4,18,19
NEW YORK, NY 10020
USA
Mailing Address
1271 AVENUE OF THE AMERICAS
FLOORS – 2,3,4,18,19
NEW YORK, NY 10020
USA
Business Telephone Number
212-209-9300
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.
Mizuho Securities USA (a/k/a Fuji Securities, Kleinwort Benson Government Securities)’s Direct Owners and Executive Officers
MIZUHO AMERICAS LLC, DIRECT OWNER
BUCHANAN, JOHN ROBERT (CRD#:1765774), MANAGING DIRECTOR & CHIEF OPERATING OFFICER
BUSQUET, JACQUES JEAN (CRD#:3227628), BOARD MEMBER
CONSIDINE, JILL MARIE (CRD#:5948267), BOARD MEMBER
DALY, BRENDAN GERARD (CRD#:1823142), CHIEF COMPLIANCE OFFICER
DEBS, RICHARD ABRAHAM (CRD#:834724), BOARD MEMBER
FELDBERG, CHESTER BENJAMIN (CRD#:4220143), BOARD MEMBER
HAMAMOTO, YOSHIRO (CRD#:7252972), BOARD MEMBER
HARTNETT, THOMAS WALTER TIMOTHY (CRD#:3278880), MANAGING DIRECTOR & HEAD OF SALES & TRADING
KANAMORI, YUZO (CRD#:7094211), BOARD MEMBER
KATZ, MICHAL (CRD#:2813944), MANAGING DIRECTOR & HEAD OF INVESTMENT BANKING
KRONENBERG, DAVID HIRSCH (CRD#:1799665), MANAGING DIRECTOR CHIEF FINANCIAL OFFICER & FINOP
MAND, MARTIN GARY (CRD#:7256856), BOARD MEMBER
MURPHY, JOHN MAC (CRD#:1488471), MANAGING DIRECTOR & HEAD OF FUTURES DIVISION
NAGAMINE, HIROSHI (CRD#:7256876), BOARD MEMBER
NOMURA, SHINJIRO (CRD#:4935321), DEPUTY PRESIDENT & BOARD MEMBER
PASQUILL, DARLENE (CRD#:2505982), MANAGING DIRECTOR & HEAD OF EQUITY
RIZZIERI, GERALD ANTHONY (CRD#:1751181), PRESIDENT & CHIEF EXECUTIVE OFFICER
SKOLLER, RICHARD MARK (CRD#:6663407), MANAGING DIRECTOR & GENERAL COUNSEL
TERAMOTO, TEIJI (CRD#:6940186), BOARD MEMBER & CHAIRMAN
ZAIKI, KOICHI (CRD#:7271537), BOARD MEMBER
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 Mizuho Securities USA (a/k/a Fuji Securities, Kleinwort Benson Government Securities) 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.
