Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Spencer-Winston Securities Corporation. If you suffered losses investing with Spencer-Winston Securities Corporation, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Spencer-Winston Securities Corporation (CRD# 8300) (SEC# 8-24995)
As of April 4, 2020, Spencer-Winston Securities Corporation’s FINRA BrokerCheck Report contains the following:
2 Regulatory Event Disclosures
5 Arbitration Disclosures
Main Office Location
45 WEST 47TH STREET SUITE 402
NEW YORK, NY 10036-2825
UNITED STATES
Mailing Address
45 WEST 47TH STREET SUITE 402
NEW YORK, NY 10036-2825
UNITED STATES
Business Telephone Number
212-840-2444
Direct Owners and Executive Officers
ECHMAN, OSCAR (CRD#:714304), PRESIDENT
GREENVEST GROUP LLC, PARTNER
BRUNO, VINCENT MICHAEL (CRD#:1845833), CCO
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 Spencer-Winston Securities Corporation 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.
