Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Wells Fargo Securities. If you suffered losses investing with Wells Fargo Securities, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Wells Fargo Securities (CRD# 126292) (SEC# 8-65876)
As of April 4, 2020, Wells Fargo Securities’s FINRA BrokerCheck Report contains the following:
141 Regulatory Event Disclosures
1 Civil Event Disclosures
Main Office Location
550 SOUTH TRYON STREET, 6TH FLOOR
D1086-060
CHARLOTTE, NC 28202
USA
Mailing Address
550 SOUTH TRYON STREET, 6TH FLOOR
D1086-060
CHARLOTTE, NC 28202
USA
Business Telephone Number
704-410-1913
Direct Owners and Executive Officers
EVEREN CAPITAL CORPORATION, PARENT
ALLEN, RENEE MCLAUGHLIN (CRD#:1671337), DEPUTY CHIEF COMPLIANCE OFFICER
CHURCH, DUANE (CRD#:7075686), CHIEF FINANCIAL OFFICER
DOLHARE, WALTER ERNESTO (CRD#:2071314), PRESIDENT/CEO
ENGEL, ROBERT ANDREW (CRD#:1972255), DIRECTOR/MANAGER
KIKER, STEVEN MATTHEW (CRD#:5373298), CHIEF OPERATING OFFICER
MCGEOUGH, LISA MARIE (CRD#:1296590), DIRECTOR/MANAGER
MULLIGAN, ROBERT JOHN JR (CRD#:1584973), CHIEF COMPLIANCE OFFICER
PINK, CHRISTOPHER WILLIAM (CRD#:4564921), DIRECTOR/MANAGER
PRIMAVERA, TODD GERALD (CRD#:2416001), CHIEF OPERATIONS OFFICER
SHREWSBERRY, JOHN RICHARD (CRD#:2264673), DIRECTOR
SMITH, JEREMY B (CRD#:6288628), DIRECTOR/MANAGER
THOMAS, DANIEL JEROME JR, DIRECTOR/MANAGER
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 Wells Fargo Securities 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.
Formerly Known As, Aliases, and Affiliates
WACHOVIA CAPITAL MARKETS, LLC, WACHOVIA CORPORATE & INVESTMENT BANKING, LLC, WELLS FARGO CORPORATE AND/& INVESTMENT BANKING, WACHOVIA CAPITAL MARKETS, LLC, WACHOVIA CORPORATE & INVESTMENT BANKING, LLC, WELLS FARGO CORPORATE AND/& INVESTMENT BANKING
