Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with William Blair. If you suffered losses investing with William Blair, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
William Blair (CRD# 1252) (SEC# 801-688, 8-2698)
As of April 4, 2020, William Blair’s FINRA BrokerCheck Report contains the following:
27 Regulatory Event Disclosures
2 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
THE WILLIAM BLAIR BUILDING
150 NORTH RIVERSIDE
CHICAGO, IL 60606-1594
UNITED STATES
Mailing Address
THE WILLIAM BLAIR BUILDING
150 NORTH RIVERSIDE
CHICAGO, IL 60606-1594
UNITED STATES
Business Telephone Number
312-236-1600
Direct Owners and Executive Officers
WBC HOLDINGS, L.P., HOLDING COMPANY
BRAMING, STEPHANIE GRIESER (CRD#:4852455), EXECUTIVE COMMITTEE
COOLIDGE, EDGAR DAVID III (CRD#:53342), VICE CHAIRMAN
DEVORE, RYAN JACOB (CRD#:3049671), EXECUTIVE COMMITTEE
ETTELSON, JOHN ROGER (CRD#:1319236), PRESIDENT, CEO
GLEDHILL, BRENT WALKER (CRD#:2921069), EXECUTIVE COMMITTEE
MOORE, JOHN CARROLL (CRD#:719076), EXECUTIVE COMMITTEE
RASAVONGXAY, WILLSON B (CRD#:6593731), CHIEF COMPLIANCE OFFICER
SIMON, ARTHUR JOSEPH (CRD#:4169626), GENERAL COUNSEL, EXECUTIVE COMMITTEE
ZINDEL, JON WALTER (CRD#:2792693), EXECUTIVE COMMITTEE, 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 William Blair 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.
