Fordham Financial Management – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Fordham Financial Management. If you suffered losses investing with Fordham Financial Management, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Fordham Financial Management (CRD# 20996) (SEC# 8-38622)
As of October 21, 2016, Fordham Financial Management’s FINRA BrokerCheck Report contains the following:
7 Regulatory Event Disclosures
0 Civil Event Disclosures
2 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
17 BATTERY PLACE, SOUTH
SUITE 643
NEW YORK, NY 10004
Mailing Address
17 BATTERY PLACE, SOUTH
SUITE 643
NEW YORK, NY 10004
Business Telephone Number
212-732-8500
Direct Owners and Executive Officers
FORDHAM HOLDING GROUP, INC. – SHAREHOLDER
ADAMS, RICHARD JOSEPH (CRD# 1072936) – FINOP
BAQUET, EDWARD MANUEL (CRD# 4986983) – GENERAL PRINCIPLE, CROP/ROP/SROP, HEAD TRADER
BAQUET, WILLIAM (CRD# 1332676) – GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER
GIORDANO, CHARLES FRANCIS (CRD# 2124257) – MANAGING DIRECTOR, GENERAL PRINCIPAL
HENDERSON, PHYLLIS ANNE (CRD# 1343053) – CHIEF COMPLIANCE OFFICER, AML COMPLIANCE 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 Fordham Financial Management 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.
