Santander Securities LLC – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Santander Securities LLC. If you suffered losses investing with Santander Securities LLC, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Santander Securities LLC (CRD# 41791) (SEC# 8-49571)
As of September 12, 2016, Santander Securities LLC’s FINRA BrokerCheck Report contains the following:
6 Regulatory Event Disclosures
0 Civil Event Disclosures
3 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
AVENIDA PONCE DE LEON 207
SAN JUAN, PR 00917
Mailing Address
2 MORRISSEY BOULEVARD
MAIL CODE: MA1-MB2-03-17
DORCHESTER, MA 02125
Business Telephone Number
787-759-5330
Direct Owners and Executive Officers
SANTANDER HOLDINGS USA, INC. – DIRECT OWNER
ALMY, MAURA S (CRD# 1038361) – CHIEF OPERATIONS OFFICER
BONILLA, RAFAEL S. (CRD# 5079499) – ADMINISTRATION COMMITTEE SECRETARY
CARTER, LAWRENCE ANDREW (CRD# 2113682) – CHIEF COMPLIANCE OFFICER
CHABOT, ALAN JAMES (CRD# 2617874) – PRESIDENT & CEO
CLEARY, MICHAEL J (CRD# 5209207) – ADMINISTRATION COMMITTEE MEMBER
CORRAL, XIOMARA (CRD# 2877593) – CHIEF LEGAL OFFICER
GUZMAN, ALEJANDRO (CRD# 6664358) – ADMINISTRATION COMMITTEE MEMBER
MOLFINO, FREDY PEDRO (CRD# 6291170) – ADMINISTRATION COMMITTEE MEMBER
MORALES DE CANO, ALVARO JAVIER (CRD# 6121367) – ADMINISTRATION COMMITTEE MEMBER
ROIG, LUIS RAMON (CRD# 2814642) – 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 Santander Securities LLC 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.
