J.J.B. Hilliard, W.L. Lyons – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with J.J.B. Hilliard, W.L. Lyons. If you suffered losses investing with J.J.B. Hilliard, W.L. Lyons, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
J.J.B. Hilliard, W.L. Lyons (CRD# 453) (SEC# 8-33133)
As of September 8, 2016, J.J.B. Hilliard, W.L. Lyons’s FINRA BrokerCheck Report contains the following:
32 Regulatory Event Disclosures
0 Civil Event Disclosures
30 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
500 WEST JEFFERSON STREET
LOUISVILLE, KY 40202-2517
P.O. BOX 32760
LOUISVILLE, KY 40232-2760
Business Telephone Number
Direct Owners and Executive Officers
HL FINANCIAL SERVICES, LLC – PARENT
ALLEN, JAMES REID (CRD# 1014622) – CHAIRMAN OF THE BOARD, CEO, PRESIDENT
ASFAHL, DONALD LEE (CRD# 2824358) – EXECUTIVE VICE PRESIDENT
BUGH, JOHN RANDALL (CRD# 1041111) – DIRECTOR, EXECUTIVE VICE PRESIDENT
ENGLAND, GARY WILLIAM (CRD# 4587837) – GENERAL COUNSEL, EXECUTIVE VICE PRESIDENT
GRIMLEY, CHARLES MORRISON (CRD# 1121284) – DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER
KAPLAN, ELIZABETH C (CRD# 4619011) – CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY ONLY)
METZGER, DARRYL KEITH (CRD# 3198458) – DIRECTOR, EXECUTIVE VICE PRESIDENT
MILLER, CARMELLA RASI (CRD# 1879379) – DIRECTOR, CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE VICE PRESIDENT
RINGO, WESLEY LEE (CRD# 1480802) – SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
WHITE, JALEIGH JEFFERS (CRD# 5950788) – DIRECTOR, EXECUTIVE VICE PRESIDENT
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 J.J.B. Hilliard, W.L. Lyons 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.