Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Craig Siegel. If you suffered losses investing with Craig Siegel, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Craig Siegel (CRD# 5759415)
As of October 11, 2019, Craig Siegel’s FINRA BrokerCheck Report contains the following:
Disclosure Events
4 Customer Dispute(s)
1 Regulatory Event(s)
Employment Separation After Allegations
Current and Previous Registrations
06/18/2013 – 08/27/2018 PORTFOLIO ADVISORS ALLIANCE, LLC (CRD#:101680) NEW YORK, NY
02/19/2010 – 06/18/2013 JOHN THOMAS FINANCIAL (CRD#:40982) NEW YORK, NY
FINRA expelled the firm on 10/31/2013
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 Craig Siegel 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.