Shearson Financial Services, LLC – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Shearson Financial Services, LLC. If you suffered losses investing with Shearson Financial Services, LLC, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Shearson Financial Services, LLC (CRD# 38619) (SEC# 8-48313)
As of September 2, 2016, Shearson Financial Services, LLC’s FINRA BrokerCheck Report contains the following:
8 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
7000 W. PALMETTO PARK ROAD
SUITE 306
BOCA RATON, FL 33433
Mailing Address
7000 W. PALMETTO PARK ROAD
SUITE 306
BOCA RATON, FL 33433
Business Telephone Number
561-613-4727
Direct Owners and Executive Officers
KAPLAN, JED PHILIP (CRD# 1622929) – CEO/FINOP
FALKEN, MICHAEL BARRY (CRD# 862958) – CHIEF COMPLIANCE OFFICER-AML CONTACT
GROSSMAN, STEVEN MICHAEL (CRD# 4430498) – PRESIDENT
MELCER, LINDA ANN (CRD# 2080333) – RIA-PRINCIPAL/MANAGING 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 Shearson Financial Services, 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.
