Did you suffer investment losses with FIS Brokerage & Securities Services (CRD# 104162) (SEC# 8-52614)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with FIS Brokerage & Securities Services. If you suffered losses investing with FIS Brokerage & Securities Services, 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 4, 2020, FIS Brokerage & Securities Services’s FINRA BrokerCheck Report contains the following:
22 Regulatory Event Disclosures
Main Office Location
2100 ENTERPRISE AVENUE
GENEVA, IL 60134
USA
Mailing Address
2100 ENTERPRISE AVENUE
GENEVA, IL 60134
USA
Business Telephone Number
630-482-7100
FIS Brokerage & Securities Services’s Direct Owners and Executive Officers
FIS INVESTMENT VENTURES LLC, SOLE CLASS A MEMBER
DONNELLAN, ANDREW B JR. (CRD#:4903697), BOARD MEMBER
MADIGAN, BRIAN PAUL (CRD#:4906205), CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER
MAYO, STEPHANIE ANN (CRD#:5048684), SENIOR VICE PRESIDENT BUSINESS OPERATIONS, BOARD MEMBER
PRATNICKI, GREG (CRD#:2409187), CHIEF COMPLIANCE OFFICER
VALLOW, RONALD ELLIS JR. (CRD#:4948582), 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 FIS Brokerage & Securities 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
ANDOVER CAPITAL PARTNERS LLC, ASSENT LLC, COMMISSION MANAGEMENT SERVICES (CMS), FOX RIVER EXECUTION SOLUTIONS (FOX RIVER), PRESCIENT SECURITIES, LLC, SGN NETWORK (SGN), SUNGARD BROKERAGE & SECURITIES SERVICES LLC, SUNGARD BROKERAGE & SECURITIES SERVICES, LLC, ANDOVER CAPITAL PARTNERS LLC, ASSENT LLC, COMMISSION MANAGEMENT SERVICES (CMS), FOX RIVER EXECUTION SOLUTIONS (FOX RIVER), PRESCIENT SECURITIES, LLC, SGN NETWORK (SGN), SUNGARD BROKERAGE & SECURITIES SERVICES LLC, SUNGARD BROKERAGE & SECURITIES SERVICES, LLC