UPDATE 4/12/2020: According to FINRA’s February 2020 Disciplinary Actions: “Individual Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).” (FINRA Case #2019063757401)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Dain Stokes. If you suffered losses investing with Dain Stokes, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 12, 2020, Dain Stokes’s FINRA BrokerCheck Report contains the following:
4 Customer Dispute(s)
2 Regulatory Event(s)
1 Employment Separation After Allegations
Current and Previous Registrations
06/08/2009 – 09/25/2019 LPL FINANCIAL LLC (CRD#:6413) BEDFORD, NH
05/09/2000 – 06/10/2009 EDWARD JONES (CRD#:250) MANCHESTER, NH
03/26/1998 – 05/18/2000 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
03/26/1998 – 05/18/2000 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.
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.