Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with John Pisapia. If you suffered losses investing with John Pisapia, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
John Pisapia (CRD# 2336216)
As of April 9, 2020, John Pisapia’s FINRA BrokerCheck Report contains the following:
Disclosure Events
1 Customer Dispute(s)
2 Regulatory Event(s)
Current and Previous Registrations
01/24/2000 – PRESENT CHELSEA FINANCIAL SERVICES (CRD#:47770) STATEN ISLAND, NY
10/03/1996 – 04/10/2001 ROYAL HUTTON SECURITIES CORP. (CRD#:14489) NEW YORK, NY
FINRA expelled the firm on 07/12/2001
09/18/1996 – 10/23/1996 TOLUCA PACIFIC SECURITIES CORP. (CRD#:13875) BURBANK, CA
06/08/1995 – 07/23/1996 SOVEREIGN EQUITY MANAGEMENT CORP. (CRD#:20016) DEERFIELD BEACH, FL
03/21/1995 – 06/09/1995 JOSEPH ROBERTS & CO., INC. (CRD#:15971) POMPANO BEACH, FL
FINRA expelled the firm on 06/05/1998
01/21/1994 – 03/21/1995 COMMONWEALTH ASSOCIATES (CRD#:20833) NEW YORK, NY
07/01/1993 – 01/26/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
05/14/1993 – 06/09/1993 THE WELLINGTON GROUP, INC. (CRD#:17814) 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 John Pisapia 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.