Wayne Raymond
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Wayne Raymond. If you suffered losses investing with Wayne Raymond, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Previous Registration(s)
02/2014 – PRESENT PHX FINANCIAL, INC. (CRD# 144403) – NEW YORK, NY
11/2013 – 02/2014 HALCYON CABOT PARTNERS, LTD. (CRD# 32664) – NEW YORK, NY
FINRA expelled the firm in 10/2015
09/2004 – 09/2013 ANDREW GARRETT INC. (CRD# 29931) – NEW YORK, NY
02/2003 – 09/2004 BERRY-SHINO SECURITIES, INC. (CRD# 38098) – SCOTTSDALE, AZ
09/2001 – 01/2003 WOLFF INVESTMENT GROUP INCORPORATED (CRD# 21930) – NEW YORK, NY
06/2001 – 07/2001 JOSEPH STEVENS & COMPANY, INC. (CRD# 35459) – BROOKLYN, NY
04/2001 – 04/2001 LADENBURG, THALMANN & CO., INC. (CRD# 505) – NEW YORK, NY
07/1999 – 03/2001 JOSEPHTHAL & CO., INC. (CRD# 3227) – NEW YORK, NY
06/1998 – 10/1998 M.S. FARRELL & COMPANY, INC. (CRD# 24232) – SYOSSET, NY
07/1997 – 07/1997 SCHNEIDER SECURITIES, INC. (CRD# 16434) – DENVER, CO
05/1997 – 06/1997 INVESTORS ASSOCIATES, INC. (CRD# 958) – HACKENSACK, NJ
FINRA expelled the firm in 05/1998
03/1997 – 04/1997 MILLENNIUM SECURITIES CORP. (CRD# 31695) – NEW YORK, NY
FINRA expelled the firm in 06/2001
09/1996 – 02/1997 THE J.B. SUTTON GROUP, INC. (CRD# 16191) – MELVILLE, NY
01/1997 – 01/1997 WOLF A. POPPER, INC. (CRD# 3059) – NEW YORK, NY
05/1996 – 10/1996 STRATTON OAKMONT INC. (CRD# 18692) – LAKE SUCCESS, NY
FINRA expelled the firm in 06/1998
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 Wayne Raymond 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.