Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Galvin (Galvin), currently associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Galvin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on December 04, 2024.
The product became illiquid and the REIT stopped paying dividends after dropping in value. The original purchase was for $60,000.00 and was bought ten years ago.
