Did you lose money investing with Kevin Doyle (CRD# 2189452)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Kevin Doyle. If you suffered losses investing with Kevin Doyle, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of July 20, 2020, Kevin Doyle’s FINRA BrokerCheck Report contains the following:
Disclosure Events
3 Customer Dispute(s)
1 Employment Separation After Allegations
Current and Previous Registrations
09/01/2017 – PRESENT AEGIS CAPITAL CORP. (CRD#:15007) MINEOLA, NY
04/27/2016 – 09/29/2017 NATIONAL SECURITIES CORPORATION (CRD#:7569) MINEOLA, NY
12/04/2008 – 04/28/2016 NEWBRIDGE SECURITIES CORPORATION (CRD#:104065) SYOSSET, NY
08/26/2008 – 12/22/2008 EMPIRE FINANCIAL GROUP, INC. (CRD#:28759) UNIONDALE, NY
FINRA expelled the firm on 03/30/2009
01/27/2006 – 08/18/2008 THE CONCORD EQUITY GROUP, LLC (CRD#:14569) SYOSSET, NY
06/17/2004 – 12/31/2005 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
01/18/2002 – 06/18/2004 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST. PETERSBURG, FL
06/05/2000 – 10/09/2001 INVESTEC ERNST & COMPANY (CRD#:266) NEW YORK, NY
12/02/1997 – 06/06/2000 CAMBRIDGE CAPITAL, LLC (CRD#:41464) GARDEN CITY, NY
FINRA expelled the firm on 02/09/2001
07/26/1993 – 12/20/1997 GKN SECURITIES CORP. (CRD#:19415) NEW YORK, NY
11/07/1991 – 08/18/1993 ROYCE INVESTMENT GROUP, INC. (CRD#:10494) WOODBURY, NY
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker’s 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. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Brokers and the brokerage firms they work for that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Kevin Doyle 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.
