Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with George Schmidt. If you suffered losses investing with George Schmidt, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
George Schmidt (CRD# 1082936)
As of April 13, 2020, George Schmidt’s FINRA BrokerCheck Report contains the following:
Disclosure Events
4 Customer Dispute(s)
1 Regulatory Event(s)
1 Employment Separation After Allegations
Current and Previous Registrations
07/25/2012 – 11/27/2019 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) MELVILLE, NY
02/12/2002 – 07/26/2012 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) EAST ISLIP, NY
10/17/2000 – 02/27/2002 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
02/22/1983 – 10/23/2000 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
02/22/1983 – 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) 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 Schmidt 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.
Former Names and Aliases
GEORGE ANTHONY SCHMIDT, GEORGE ANTHONY SCHMIDT
