Popular Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Popular Securities. If you suffered losses investing with Popular Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Popular Securities (CRD# 8096) (SEC# 8-24216)
As of August 24, 2016, Popular Securities’ FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
0 Civil Event Disclosures
3 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
208 AVENUE PONCE DE LEON
POPULAR CENTER SUITE 1200
SAN JUAN, PR 00918-1035
Mailing Address
208 AVENUE PONCE DE LEON
POPULAR CENTER SUITE 1200
SAN JUAN, PR 00918-1035
Business Telephone Number
(787) 766-4200
Direct Owners and Executive Officers
POPULAR, INC. – HOLDING COMPANY
ACOSTA-ASHBY, MARLA MARIE (CRD# 3256258) – CHIEF COMPLIANCE OFFICER
CARRION, RICHARD L – DIRECTOR
DIAZ, BEATRIZ L – CFO
GUERRERO, JUAN O – DIRECTOR
KAUFMAN, GREGORY (CRD# 1720305) – PRESIDENT & CEO
MCGRATH, KENNETH WILLIAM – SENIOR MANAGING DIRECTOR
TORRES RAMOS, JOSE JOAQUIN (CRD# 1684523) – COO
VAZQUEZ, CARLOS JOSE – 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 Popular Securities 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.
