Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with National Financial Services. If you suffered losses investing with National Financial Services, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
National Financial Services (CRD# 13041) (SEC# 801-50706, 8-26740)
As of April 4, 2020, National Financial Services’s FINRA BrokerCheck Report contains the following:
38 Regulatory Event Disclosures
12 Arbitration Disclosures
Main Office Location
200 SEAPORT BOULEVARD
BOSTON, MA 02210
TWO DESTINY WAY
MAIL ZONE: WG3D
WESTLAKE, TX 76262
UNITED STATES OF AMERICA
Business Telephone Number
Direct Owners and Executive Officers
FIDELITY GLOBAL BROKERAGE GROUP, INC., SOLE MEMBER
ADAMS, ROBERT JOHN (CRD#:1291582), CHIEF OPERATIONS OFFICER/ELECTED MANAGER
CRUPI, KAREN MICHELE (CRD#:2982229), CHIEF LEGAL OFFICER
DEPOALO, RONALD EDWARD (CRD#:5995085), HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER
DURBIN, MICHAEL ROSS (CRD#:2090998), CHIEF EXECUTIVE OFFICER/ELECTED MANAGER
KATZELNICK, MARK CURTIS (CRD#:2919730), ELECTED MANAGER
LYONS, MICHAEL JOSEPH (CRD#:4610621), CHIEF FINANCIAL OFFICER
MIRCHANDANI, SANJIV (CRD#:2771645), PRESIDENT/ELECTED MANAGER
O’BRIEN, RICHARD JOHN (CRD#:2707197), CHIEF COMPLIANCE OFFICER
TESAURO, THOMAS JOHN (CRD#:1862532), ELECTED MANAGER
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.
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.