Park Avenue Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Park Avenue Securities. If you suffered losses investing with Park Avenue Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Park Avenue Securities (CRD# 46173) (SEC# 8-51324)
As of September 12, 2016, Park Avenue Securities’s FINRA BrokerCheck Report contains the following:
11 Regulatory Event Disclosures
0 Civil Event Disclosures
3 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
7 HANOVER SQUARE, H4C
NEW YORK, NY 10004
Mailing Address
7 HANOVER SQUARE, H4C
NEW YORK, NY 10004
Business Telephone Number
888-600-4667
Direct Owners and Executive Officers
THE GUARDIAN INSURANCE & ANNUITY CO., INC. – OWNER
BOGGS, ALLEN WARREN (CRD# 4751363) – REGISTERED OPTIONS PRINCIPAL
CEFOLE, MICHAEL B (CRD# 2720073) – CHAIRMAN OF THE BOARD OF MANAGERS OF PARK AVENUE SECURITIES LLC
CHAMERDA, ROBERT STEPHEN (CRD# 6009954) – SECOND VICE PRESIDENT, WHOLESALE DIVISION
CONWAY, JAMES ROBERT (CRD# 4368039) – CONTROLLER
COSTANTINI, MARC (CRD# 4469603) – LLC MANAGER
DOLFI, D. SCOTT (CRD# 5384389) – LLC MANAGER
DUBITSKY, DOUGLAS BRUCE (CRD# 4866845) – VICE PRESIDENT, WHOLESALE DIVISION
ETHIRVEERASINGAM, NAHULAN N (CRD# 2935062) – SECOND VICE PRESIDENT, WHOLESALE DIVISION
FERIK, MICHAEL NICHOLAS (CRD# 4994941) – LLC MANAGER
GOODALL, KENNETH RAY (CRD# 2682569) – CHIEF COMPLIANCE OFFICER
LAKE, JAMES PATRICK JR (CRD# 2042318) – FIELD VICE PRESIDENT, NATIONAL SALES MANAGER, WHOLESALE DIVISION
PALAZZETTI, JOHN (CRD# 1815805) – PRESIDENT
RYNIKER, MICHAEL JOHN (CRD# 2474604) – CHIEF OPERATING OFFICER
SENKER, LINDA ELLEN (CRD# 1980001) – SECOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, WHOLESALE DIVISION
SULLIVAN, DONALD PAUL JR (CRD# 1022281) – SENIOR VICE PRESIDENT, AGENCY DISTRIBUTION AND PAS / LLC MANAGER
WALTER, JOHN HAROLD (CRD# 2358945) – VICE PRESIDENT, FINANCIAL OFFICER, WHOLESALE DIVISION
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 Park Avenue 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.
