Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with The Leaders Group. If you suffered losses investing with The Leaders Group, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
The Leaders Group (CRD# 37157) (SEC# 8-47639)
As of April 4, 2020, The Leaders Group’s FINRA BrokerCheck Report contains the following:
4 Regulatory Event Disclosures
Main Office Location
26 W. DRY CREEK CIRCLE
SUITE 800
LITTLETON, CO 80120-4475
UNITED STATES
Mailing Address
26 W. DRY CREEK CIRCLE
SUITE 800
LITTLETON, CO 80120-4475
UNITED STATES
Business Telephone Number
303-797-9080
Direct Owners and Executive Officers
BERNADETTE M. WICKERSHAM AMENDED AND RESTATED LIVING REVOCABLE TRUST, OWNER
DAVID R WICKERSHAM AMENDED AND RESTATED LIVING REVOCABLE TRUST, OWNER
BERNADETTE M. WICKERSHAM 2018 IRREVOCABLE TRUST FBO SEAN D. WICKERSHAM, OWNER
DAVID R WICKERSHAM 2018 REVOCABLE TRUST FBO SEAN D. WICKERSHAM, OWNER
RILEY, Z JANE, CHIEF COMPLIANCE OFFICER
TILLER, BENJAMIN RYAN (CRD#:5742792), FINOP
WICKERSHAM, DAVID R (MI ONLY) (CRD#:716502), CEO
WICKERSHAM, SEAN DAVID (CRD#:4994630), PRESIDENT
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 The Leaders Group 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.
