Did you suffer investment losses with PriceWaterhouseCoopers Corporate Finance (CRD# 41461) (SEC# 8-49443)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with PriceWaterhouseCoopers Corporate Finance. If you suffered losses investing with PriceWaterhouseCoopers Corporate Finance, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of October 10, 2020, PriceWaterhouseCoopers Corporate Finance’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
1 N. WACKER DRIVE
CHICAGO, IL 60606
1 N. WACKER DRIVE
CHICAGO, IL 60606
Business Telephone Number
PriceWaterhouseCoopers Corporate Finance’s Direct Owners and Executive Officers
PRICEWATERHOUSECOOPERS LLP, SHAREHOLDER
BURNS, ROSEMARY ANN (CRD#:2228853), FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER
KELLY, KRISTEN HUGHES (CRD#:2263262), CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER
NIEMEYER, MEL JOHN, MEMBER OF BOARD OF MANAGERS
ROONEY, THOMAS (CRD#:6931609), MEMBER OF BOARD OF MANAGERS
WITTMER, COLIN E (CRD#:7152471), MEMBER OF BOARD OF MANAGERS
WOLFE, HOWARD DEGRAFF III (CRD#:3049913), PRESIDENT
YOUNG, THEODORE R (CRD#:6709276), MEMBER OF BOARD OF MANAGERS
Due Diligence Requirement
FINRA requires broker-dealers 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. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
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Formerly Known As, Aliases, and Affiliates
COOPERS & LYBRAND SECURITIES L.L.C., PRICEWATERHOUSECOOPERS CORPORATE ADVISORY AND RESTRUCTURING LLC, PRICEWATERHOUSECOOPERS SECURITIES L.L.C., PRICEWATERHOUSECOOPERS SECURITIES LLC, PWC CORPORATE ADVISORY AND RESTRUCTURING LLC, COOPERS & LYBRAND SECURITIES L.L.C., PRICEWATERHOUSECOOPERS CORPORATE ADVISORY AND RESTRUCTURING LLC, PRICEWATERHOUSECOOPERS SECURITIES L.L.C., PRICEWATERHOUSECOOPERS SECURITIES LLC, PWC CORPORATE ADVISORY AND RESTRUCTURING LLC