Did you suffer investment losses with Natwest Markets Securities (f/k/a RBS Securities)( (CRD# 11707) (SEC# 8-37135)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Natwest Markets Securities (f/k/a RBS Securities)(. If you suffered losses investing with Natwest Markets Securities (f/k/a RBS 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 June 6, 2020, Natwest Markets Securities (f/k/a RBS Securities)(‘s FINRA BrokerCheck Report contains the following:
43 Regulatory Event Disclosures
3 Civil Event Disclosures
Main Office Location
600 WASHINGTON BOULEVARD
STAMFORD, CT 06901
UNITED STATES
Mailing Address
600 WASHINGTON BOULEVARD
STAMFORD, CT 06901
UNITED STATES
Business Telephone Number
203-897-2700
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.
Natwest Markets Securities (f/k/a RBS Securities)(‘s Direct Owners and Executive Officers
RBS HOLDINGS USA INC., SHAREHOLDER
COLEMAN, ROONEY JAMES (CRD#:5450750), CHIEF FINANCIAL OFFICER
ESPOSITO, JAMES M (CRD#:2836422), SECRETARY, GENERAL COUNSEL, MANAGING DIRECTOR
GIRARD, MICHELLE COLLEY (CRD#:2185240), DIRECTOR
LANE, JASON DEARMOND (CRD#:2671708), CHIEF COMPLIANCE OFFICER
MITTLEMAN, ALAN STEVEN (CRD#:2789366), DIRECTOR
SPEZZANO, CASEY RYAN (CRD#:4678231), DIRECTOR
STAUDER, CHRISTIAN MICHAEL (CRD#:2904408), DIRECTOR/DESIGNATED OFFICER, TEXAS STATE SECURITIES BOARD
STEVELMAN, PAUL D (CRD#:2418593), PRESIDENT /CHIEF EXECUTIVE 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 Natwest Markets Securities (f/k/a RBS 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.
Formerly Known As, Aliases, and Affiliates
GREENWICH CAPITAL MARKETS INC, GREENWICH CAPITAL MARKETS, INC., RBS GREENWICH CAPITAL, GREENWICH CAPITAL MARKETS INC, GREENWICH CAPITAL MARKETS, INC., RBS GREENWICH CAPITAL
