Did you suffer investment losses with Rabo Securities (CRD# 122657) (SEC# 8-65525)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Rabo Securities. If you suffered losses investing with Rabo Securities, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, Rabo Securities’s FINRA BrokerCheck Report contains the following:
Main Office Location
245 PARK AVENUE
NEW YORK, NY 10167-0062
Mailing Address
245 PARK AVENUE
NEW YORK, NY 10167-0062
Business Telephone Number
212-808-2548
Rabo Securities’s Direct Owners and Executive Officers
UTRECHT-AMERICA HOLDINGS, INC, SOLE SHAREHOLDER
BASSETT, DAVID FRANCIS (CRD#:2802027), CHAIRMAN
CHEN, NAN-I (CRD#:5676775), GENERAL COUNSEL
GONFIANTINI, FRED J (CRD#:1602771), DIRECTOR
KITTEL, CHRISTOPHER FREDERICK (CRD#:2718043), CHIEF COMPLIANCE OFFICER
MARTENS, ANDREA MARIE (CRD#:1187593), FINANCIAL AND OPERATIONS PRINCIPAL
MCGRORY, KENNETH RAYMOND (CRD#:1032747), PRESIDENT
PASDAR, NADER (CRD#:4702711), CHIEF EXECUTIVE OFFICER AND DIRECTOR
ROBINSON, PAULA LYNETTE (CRD#:7163571), SECRETARY
SWARTZ, VAUGHN BRIAN (CRD#:2929774), DIRECTOR
TOP, ANDRIES HERMAN (CRD#:6679034), DIRECTOR
VAN DER SPUY, CLINTON LIPKA (CRD#:6591944), DIRECTOR
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 Rabo 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.
