Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Wilmington Capital Securities. If you suffered losses investing with Wilmington Capital Securities, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Wilmington Capital Securities (CRD# 133839) (SEC# 801-101483, 8-67149)
As of April 4, 2020, Wilmington Capital Securities’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
600 OLD COUNTRY ROAD
SUITE 200
GARDEN CITY, NY 11530
USA
Mailing Address
600 OLD COUNTRY ROAD
SUITE 200
GARDEN CITY, NY 11530
USA
Business Telephone Number
516-750-6200
Direct Owners and Executive Officers
WILMINGTON CAPITAL GROUP, INC., PARENT COMPANY
COLUMBO, JOSEPH DONALD (CRD#:823524), CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER
DORUSHKIN, RONALD BRETT (CRD#:2245185), CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER
LEE, DENNIS PETER (CRD#:6008539), CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL
MIKES, JOHN (CRD#:2458544), PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR
STOUBER, RANDY MARC (CRD#:1104531), FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER
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 Wilmington Capital 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.
