National Planning Corporation – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with National Planning Corporation. If you suffered losses investing with National Planning Corporation, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
National Planning Corporation (CRD# 29604) (SEC# 8-44435)
As of September 8, 2016, National Planning Corporation’s FINRA BrokerCheck Report contains the following:
9 Regulatory Event Disclosures
0 Civil Event Disclosures
4 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
100 NORTH SEPULVEDA BLVD SUITE 1800
EL SEGUNDO, CA 90245
Mailing Address
100 NORTH SEPULVEDA BLVD SUITE 1800
EL SEGUNDO, CA 90245
Business Telephone Number
310-899-7975
Direct Owners and Executive Officers
NATIONAL PLANNING HOLDINGS, INC. – SHAREHOLDER
AVENA, ALLAN REYES (CRD# 2586030) – VP, ADVISORY SERVICES
CICOTTE, GREGORY PHILIP (CRD# 1208709) – PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR
COLEMAN, CAREN LESLIE (CRD# 4298287) – VP, NPH PRODUCT AND SPONSOR RELATIONS
COLLINS, MAURA KATHRYN (CRD# 4761732) – EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER-NATIONAL PLANNING HOLDINGS, INC
COSTELLO, MICHAEL ALAN (CRD# 6314868) – DIRECTOR
DOWDEN, STEVEN HOWARD (CRD# 2666894) – EXECUTIVE VICE PRESIDENT-NATIONAL PLANNING HOLDINGS INC
GUNDERSON, GERRY A (CRD# 2448501) – NPH SVP, GENERAL COUNSEL
JOHNSON, JOHN CHARLES (CRD# 2079852) – PRESIDENT/CEO/DIRECTOR
LAMBRECHTS, VANESSA MARIE RODRIGUEZ (CRD# 4800775) – VP/FINOP CONTROLLER
MARTINEZ, WENDY TAMIE (CRD# 2668422) – SVP OPERATIONS
MCCALLOP, PATRICIA ANN (CRD# 5059176) – CHIEF COMPLIANCE OFFICER
MILLER, JAMES PETER (CRD# 1955960) – NPH SVP, OPERATIONS
REED, ALISON RUSS (CRD# 3241221) – DIRECTOR
SCHAB, MICHAEL JOHN (CRD# 2594111) – VICE PRESIDENT COMPLIANCE
WEISS, DANIEL STUART (CRD# 2735824) – NPH VP, DUE DILIGENCE
WRIGHT, DANIEL EUGENE (CRD# 2204732) – NPH SENIOR VICE PRESIDENT
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 National Planning Corporation 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.
