Summit Equities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Summit Equities. If you suffered losses investing with Summit Equities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Summit Equities (CRD# 11039) (SEC# 27556)
As of January 10, 2017, Summit Equities’s FINRA BrokerCheck Report contains the following:
0 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
4 Campus Drive
Parsippany, NJ 07054-0413
Mailing Address
4 Campus Drive
Parsippany, NJ 07054-0413
Business Telephone Number
973-285-3670
Direct Owners and Executive Officers
WEINMAN, STEVEN (CRD#:1055954) – CHAIRMAN OF THE BOARD & CO-CHIEF INVESTMENT OFFICER
SALVO, SALVADORE ROBERT (CRD#:409637) – DIRECTOR
BREMER, MICHAEL COLLIN (CRD#:2286765) – CHIEF OPERATIONS OFFICER
GREGOR, STANLEY (CRD#:1672974) – PRESIDENT
LAMBERTI, ROBERT WILLIAM (CRD#:4502968) – CO-CHIEF INVESTMENT OFFICER
LEFKOWITZ, MIRIAM (CRD#:4567955) – CHIEF LEGAL OFFICER
ROWEK, JOSEPH FRANCIS (CRD#:2684738) – VP FINANCIAL PLANNING
SLOMIN, ROBERT PAUL (CRD#:3043306) – CHIEF COMPLIANCE OFFICER
STEMPLER, MARA DEBORAH (CRD#:1807699) – 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 Summit Equities 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.
