Vanderbilt Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Vanderbilt Securities. If you suffered losses investing with Vanderbilt Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Vanderbilt Securities (CRD# 5953) (SEC# 8-16712)
As of August 24, 2016, Vanderbilt Securities’ FINRA BrokerCheck Report contains the following:
4 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
125 FROEHLICH FARM BLVD.
WOODBURY, NY 11797
Mailing Address
125 FROEHLICH FARM BLVD.
WOODBURY, NY 11797
Business Telephone Number
631-845-5100
Direct Owners and Executive Officers
VANDERBILT CAPITAL, LLC – SOLE OWNER
CHAMPNEY, BARRY ALAN (CRD# 731205) – CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL
DISTANTE, STEPHEN ALFRED (CRD# 2206574) – CEO – PRESIDENT – LIMITED PARTNER
FEINBERG, RICHARD BURT (CRD# 205662) – FINOP
TRIFILETTI, JOSEPH JOHN (CRD# 5295897) – AML OFFICER, OPTIONS 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 Vanderbilt 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.