Kevin A. Bostory of Edison, New Jersey, a stockbroker formerly registered with National Securities Corp., is the subject of a customer initiated investment related arbitration claim, where the customer requested $36,509.00 in damages based upon accusations that Bostory breached his fiduciary duties to the customer and effected unsuitable equity transactions in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 15-03251 (Dec. 18, 2015).
FINRA Public Disclosure also reveals that a customer initiated investment related arbitration claim involving Bostory’s conduct was settled for $125,000.00 in damages supported by allegations of negligence, breach of fiduciary duty, and misrepresentation with regard to stock transactions effected in the customer’s account. FINRA Arbitration No. 14-03571 (Oct. 10, 2016).
Bostory’s employment with National Securities Corporation was terminated on September 10, 2014. Since September 11, 2014, he has been registered with Scottrade, Inc.
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