Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Northeast Securities. If you suffered losses investing with Northeast Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Northeast Securities (CRD# 25996) (SEC# 42227)
As of June 6, 2018, Northeast Securities’s FINRA BrokerCheck Report contains the following:
15 Regulatory Event Disclosures
12 Arbitration Disclosures
Main Office Location
333 EARLE OVINGTON BLVD
7TH FLOOR
MITCHELFIELD, NY 11553
UNITED STATES
Mailing Address
333 EARLE OVINGTON BLVD
7TH FLOOR
MITCHELFIELD, NY 11553
UNITED STATES
Business Telephone Number
516-396-1600
Direct Owners and Executive Officers
INSIGNEO FINANCIAL SERVICES, LLC, SHAREHOLDER
ALMERINI, LOUIS ACHILLE (CRD#:1605183), FINOP
DIAMANTIS, JOHN M (CRD#:1310200), CHAIRMAN
DUFFY, PAUL EDWARD (CRD#:2227111), PRESIDENT
O’ROURKE, CHARLES MICHAEL (CRD#:733917), SECRETARY
STICE, HAROLD EUGENE (CRD#:1349210), CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP
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 Northeast 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.
