NBC Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with NBC Securities. If you suffered losses investing with NBC Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
NBC Securities (CRD# 17870) (SEC# 8-35870)
As of August 24, 2016, NBC Securities’ FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
1927 1ST AVENUE NORTH
BIRMINGHAM, AL 35203-0686
Mailing Address
1927 1ST AVENUE NORTH
BIRMINGHAM, AL 35203-0686
Business Telephone Number
800-521-9390
Direct Owners and Executive Officers
NBCS HOLDINGS, L.P. – SHAREHOLDER
CONWAY, PAMELA KOHSER – VICE PRESIDENT
ELDER, DOUG JAMES (CRD# 2358111) – SVP – SALES MANAGER
FALKENBURG, FRANK BENNER (CRD# 204097) – MANAGING DIRECTOR
PHELAN, BRADFORD LEE (CRD# 1733368) – PRESIDENT AND CEO
WILKINS, JEFFERY SCOTT (CRD# 3154639) – VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
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 NBC Securities 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.
