UPDATE: MSI Financial Services, Inc. has been acquired by MassMutual and integrated into its existing broker-dealer, MML Investors Services.
MSI Financial Services, Inc. – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with MSI Financial Services, Inc.. If you suffered losses investing with MSI Financial Services, Inc., then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
MSI Financial Services, Inc. (CRD# 14251) (SEC# 8-30447)
As of September 12, 2016, MSI Financial Services, Inc.’s FINRA BrokerCheck Report contains the following:
36 Regulatory Event Disclosures
0 Civil Event Disclosures
15 Arbitration Disclosures
2 Bond Disclosures
Main Office Location
1295 STATE STREET
SPRINGFIELD, MA 01111-0001
Mailing Address
1295 STATE STREET
SPRINGFIELD, MA 01111-0001
Business Telephone Number
413-737-8400
Direct Owners and Executive Officers
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY – DIRECT OWNER
BAUER, THOMAS K (CRD# 4759472) – VICE PRESIDENT
BENSON, WENDY ANN (CRD# 2140720) – CHIEF EXECUTIVE OFFICER AND DIRECTOR
COHN, MARC ALLAN (CRD# 2464524) – CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER
CRUZ, ORLANDO RAFAEL JR (CRD# 2311194) – PRESIDENT AND DIRECTOR
FRANCELLA, AMY (CRD# 1881552) – VP & ASSOCIATE GENERAL COUNSEL
LAPIANA, PAUL ANTHONY (CRD# 2237245) – SENIOR VICE PRESIDENT
MARTINEZ, JOHN GREGORY (CRD# 2210722) – VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL
MINK, DAVID MYERS (CRD# 2606831) – CHIEF OPERATIONS OFFICER
VACCARO, JOHN ARTHUR (CRD# 2264004) – CHAIRMAN AND DIRECTOR
WILKINSON, MARY BEA (CRD# 2159909) – 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 MSI Financial Services, Inc. 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.