VFinance Investments – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with VFinance Investments. If you suffered losses investing with VFinance Investments, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
VFinance Investments (CRD# 44962) (SEC# 8-50898)
As of December 2, 2016, VFinance Investments’s FINRA BrokerCheck Report contains the following:
26 Regulatory Event Disclosures
0 Civil Event Disclosures
5 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
1200 N. FEDERAL HIGHWAY
SUITE 400
BOCA RATON, FL 33432
Mailing Address
ONE UNION SQUARE 600 UNIVERSITY STREET
SUITE 2900
SEATTLE, WA 98101
Business Telephone Number
561-981-1048
Direct Owners and Executive Officers
VFINANCE INVESTMENTS HOLDINGS – SHAREHOLDER
FAGENSON, ROBERT BRUCE (CRD# 1109347) – DIRECTOR
GROENEVELD, WILLIAM LAWRENCE (CRD# 2127534) – HEAD TRADER, PRESIDENT, CEO
GROENEVELD, WILLIAM LAWRENCE (CRD# 2127534) – DIRECTOR
ISRAEL, JAY MARC (CRD# 1525260) – GENERAL COUNSEL
JOHNSON, KAY ALISON (CRD# 1583193) – CCO
KOENIGSBERG, JOHN A (CRD# 1332374) – DIRECTOR OF OPERATIONS
ROSEN, STEVEN ALLEN (CRD# 1428637) – CHIEF SUPERVISORY OFFICER
WATSON, NATALIA TOVAR (CRD# 4782735) – FINOP/CFO
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 VFinance 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.
