Proequities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Proequities. If you suffered losses investing with Proequities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Proequities (CRD# 15708) (SEC# 8-32590)
As of September 12, 2016, Proequities’s FINRA BrokerCheck Report contains the following:
55 Regulatory Event Disclosures
0 Civil Event Disclosures
7 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
2801 HIGHWAY 280 SOUTH
BIRMINGHAM, AL 35223
Mailing Address
P.O. BOX 518
BIRMINGHAM, AL 35201-0518
Business Telephone Number
800-288-3035
Direct Owners and Executive Officers
PROTECTIVE LIFE CORPORATION – PARENT
CYPHERT, MARK JOSEPH (CRD# 6233118) – DIRECTOR/BOARD MEMBER
FLINT, CHRISTOPHER WADE (CRD# 2804477) – PRESIDENT/CEO
GUERRERA, DARREN CYRIL (CRD# 2541120) – CFO
HARTLEY, RORY MARSHALL (CRD# 1464251) – MANAGING DIRECTOR, PROTECTIVE SECURITIES
MILLER, HAROLD BLAINE (CRD# 4214267) – CHIEF SUPERVISION OFFICER
SAWYER, JOHN ROBERT (CRD# 2163226) – DIRECTOR
WELLS, PAUL RICHARD (CRD# 6188199) – DIRECTOR/BOARD MEMBER
YOUHN, STEPHEN MICHAEL (CRD# 1414691) – 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 Proequities 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.
