Uhlmann Price Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Uhlmann Price Securities. If you suffered losses investing with Uhlmann Price Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Uhlmann Price Securities (CRD# 42854) (SEC# 50041)
As of January 10, 2017, Uhlmann Price Securities’s FINRA BrokerCheck Report contains the following:
0 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
141 W. Jackson Blvd. Ste. 1340A
Chicago, IL 60604
Mailing Address
141 W. Jackson Blvd. Ste. 1340A
Chicago, IL 60604
Business Telephone Number
312-264-4400
Direct Owners and Executive Officers
Price Holdings, Inc. – Sole Owner
Baer, Jamers Dana (CRD# 9936) – President/FINOP
Kelly, Cindy Marie (CRD# 3270586) – Chief Compliance Officer
Konn, Alan Robert (CRD# 1406973) – Principal
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 Uhlmann Price Securities 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.
