Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Knight Direct (a/k/a Direct Trading Institutional, CTI Acquisition Sub). If you suffered losses investing with Knight Direct (a/k/a Direct Trading Institutional, CTI Acquisition Sub), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Virtu Americas is the Firm’s Successor Entity.
Knight Direct (a/k/a Direct Trading Institutional, CTI Acquisition Sub) (CRD# 135924) (SEC# 8-66957)
As of April 4, 2020, Knight Direct (a/k/a Direct Trading Institutional, CTI Acquisition Sub)’s FINRA BrokerCheck Report contains the following:
Not currently registered as broker
2 Regulatory Event Disclosures
Direct Owners and Executive Officers
KNIGHT CAPITAL HOLDINGS LLC, SOLE MEMBER
VOETSCH, GREGORY CHARLES (CRD#:1223244), EXECUTIVE VICE PRESIDENT AND MANAGER
AMORUSO, LEONARD JOHN (CRD#:4062175), SMD, GENERAL COUNSEL
DUNHAM, TIMOTHY PHILIP (CRD#:1016294), FINOP
LEVINE, MATTHEW STEVEN (CRD#:5384169), CHIEF COMPLIANCE OFFICER, DIRECTOR
SCHULTZ, NICOLAS ALBIN (CRD#:2878891), DIRECTOR, CLIENT SERVICES, ROSFP
WALD, JOSEPH (CRD#:2448482), MANAGING DIRECTOR
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 Knight Direct (a/k/a Direct Trading Institutional, CTI Acquisition Sub) 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.
