UPDATE 4/12/2020: According to FINRA’s February 2020 Disciplinary Actions: “Individual Suspended for Failure to Prove Information or Keep Information Current Pursuant to FINRA Rule 9552(d).” (FINRA Case #2019061940901)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with George Belesis. If you suffered losses investing with George Belesis, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
George Belesis (CRD# 4860444)
As of April 12, 2020, George Belesis’s FINRA BrokerCheck Report contains the following:
Disclosure Events
3 Customer Dispute(s)
1 Regulatory Event(s)
1 Financial Disclosure(s)
2 Judgment(s)/Lien(s)
Current and Previous Registrations
06/19/2013 – 10/21/2019 PORTFOLIO ADVISORS ALLIANCE, LLC (CRD#:101680) NEW YORK, NY
01/12/2007 – 06/19/2013 JOHN THOMAS FINANCIAL (CRD#:40982) NEW YORK, NY
FINRA expelled the firm on 10/31/2013
01/03/2006 – 01/12/2007 JOSEPH GUNNAR & CO. LLC (CRD#:24795) NEW YORK, NY
03/28/2005 – 12/15/2005 S.W. BACH & COMPANY (CRD#:43522) NEW YORK, NY
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 George Belesis 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.
