Safra Securities (CRD# 47873) (SEC# 8-51935)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Safra Securities. If you suffered losses investing with Safra 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, Safra Securities’s FINRA BrokerCheck Report contains the following:
2 Regulatory Event Disclosures
1 Arbitration Disclosures
Main Office Location
546 FIFTH AVE
NEW YORK, NY 10036
UNITED STATES
Mailing Address
546 FIFTH AVE
NEW YORK, NY 10036
UNITED STATES
Business Telephone Number
212-704-5500
Direct Owners and Executive Officers
SAFRA NATIONAL BANK OF NEW YORK, SOLE SHAREHOLDER
BONFIM, CARLOS CESAR BERTACO, DIRECTOR
COLOMBO, RAFAELO (CRD#:6054935), DIRECTOR
GRUNWALD, MARK STEVEN (CRD#:3262204), DIRECTOR & PRESIDENT
JAVIER, SIGMUND PETER (CRD#:6002619), DIRECTOR
MANNING, ANA M (CRD#:5037256), FINOP
MCCARTHY, GERARD THOMAS (CRD#:3121615), INTERIM CHIEF COMPLIANCE OFFICER
MORATO, SIMONI PASSOS (CRD#:5568481), DIRECTOR
OSWALD, THOMAS FRANCIS (CRD#:1828798), CHIEF OPERATIONS OFFICER
PARAGGIO, STEVEN JOHN (CRD#:2495234), CHIEF FINANCIAL 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 Safra 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.
