U.S. Bankcorp Investments – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with U.S. Bankcorp Investments. If you suffered losses investing with U.S. Bankcorp Investments, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
U.S. Bankcorp Investments (CRD# 17868) (SEC# 8-35359)
As of September 12, 2016, U.S. Bankcorp Investments’s FINRA BrokerCheck Report contains the following:
13 Regulatory Event Disclosures
0 Civil Event Disclosures
11 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
60 LIVINGSTON AVENUE
EP-MN-WN3C
SAINT PAUL, MN 55107
Mailing Address
60 LIVINGSTON AVENUE
EP-MN-WN3C
SAINT PAUL, MN 55107
Business Telephone Number
651-466-5249
Direct Owners and Executive Officers
U.S. BANCORP – PARENT CORPORATION
BENJAMIN, WILLIAM JOHN III (CRD# 2502735) – CHIEF EXECUTIVE OFFICER, DIRECTOR
BUCKLEY, TRUDI MARIE (CRD# 4424798) – CHIEF FINANCIAL OFFICER, FINOP, DIRECTOR
CAMERANESI, KENNETH STEVEN (CRD# 1292159) – CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT
MITCHEL, DOROTHY ANN (CRD# 1142201) – DIVISIONAL MANAGER, SENIOR VICE PRESIDENT AND DIRECTOR
O’LEARY, ANGELA ALCORN (CRD# 2322168) – SENIOR VICE PRESIDENT, DIRECTOR
PHILIPSON, STEPHEN LEWIS (CRD# 4410980) – DIRECTOR
POELL, MICHAEL FRANCIS (CRD# 2192445) – VICE PRESIDENT, COMPLIANCE MANAGER AND DIRECTOR
STUART, WILLIAM JEFFERSON (CRD# 2124222) – DIRECTOR
VAN HORN, GAIL MARIE (CRD# 4965564) – CHIEF LEGAL OFFICER
WALTER, JEFFREY ADAM (CRD# 2143608) – CHIEF COMPLIANCE OFFICER, 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 U.S. Bankcorp Investments 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.
