Did you lose money investing with Neil Pecker (CRD# 4677111)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Neil Pecker. If you suffered losses investing with Neil Pecker, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 21, 2020, Neil Pecker’s FINRA BrokerCheck Report contains the following:
BARRED: FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
Disclosure Events
1 Customer Dispute(s)
1 Regulatory Event(s)
1 Civil Disclosure(s)
Current and Previous Registrations
09/2015 – 11/2015 COASTAL EQUITIES, INC. (CRD# 23769) – LONGWOOD, FL
08/2013 – 12/2013 WESTPARK CAPITAL, INC. (CRD# 39914) – LOS ANGELES, CA
02/2011 – 09/2011 NEWPORT COAST SECURITIES, INC. (CRD# 16944) – LAKE WORTH, FL
FINRA expelled this firm on 06/25/2018
11/2008 – 03/2009 FIRST MIDWEST SECURITIES, INC. (CRD# 21786) – DEERFIELD BEACH, FL
03/2008 – 12/2008 INVESTORS CAPITAL CORP. (CRD# 30613) – DEERFIELD BEACH, FL
07/2007 – 03/2008 SECURITIES AMERICA, INC. (CRD# 10205) – DELRAY BEACH, FL
09/2006 – 07/2007 BROOKSTREET SECURITIES CORPORATION (CRD# 14667) – DELRAY BEACH, FL
10/2003 – 09/2006 GUNNALLEN FINANCIAL, INC (CRD# 17609) – DELRAY BEACH, FL
07/2003 – 11/2003 CONTINENTAL BROKER-DEALER CORP. (CRD# 14048) – CARLE PLACE, NY
FINRA expelled the firm in 05/2004
Due Diligence Requirement
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.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Neil Pecker 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.
