Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Banc of America Investment Services. If you suffered losses investing with Banc of America Investment Services, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Banc of America Investment Services (CRD# 16361) (SEC# 8-33805)
Merrill Lynch, Pierce, Fenner & Smith is the Firm’s successor.
As of April 4, 2020, Banc of America Investment Services’s FINRA BrokerCheck Report contains the following:
Not currently registered as broker
53 Regulatory Event Disclosures
1 Civil Event Disclosures
68 Arbitration Disclosures
Direct Owners and Executive Officers
MERRILL LYNCH & CO., INC., SHAREHOLDER
BENSON, MARK JARRETT (CRD#:1915552), PRESIDENT/CEO/DIRECTOR/CHAIRMAN
CALL, JOHN SCOTT (CRD#:2815968), SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE
NEWTH, RONALD JOSEPH (CRD#:1454390), CHIEF OPERATING OFFICER/DIRECTOR
OSAKI, ISAAC (CRD#:4910551), CHIEF LEGAL OFFICER
ROMANO, JOHN GARY (CRD#:5078610), CFO/DIRECTOR
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 Banc of America Investment Services 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
NATIONSBANC INVESTMENTS, INC., NATIONSBANC SECURITIES, INC., NCNB SECURITIES, INC., NATIONSBANC INVESTMENTS, INC., NATIONSBANC SECURITIES, INC., NCNB SECURITIES, INC.