man with head in hands
investment fraud

Matthew Fleissner of New York New York a stockbroker formerly employed by National Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $300,000.00 in damages based upon allegations that (1) there was a breach of the customer’s contract (2) the account was negligently administered (3) fiduciary duties were breached (4) misrepresentations had been made regarding investments (5) unit investment trust and over-the-counter equities trades failed to be suitable for the customer and (6) unauthorized trades were effected in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02746 (Aug. 2, 2018).

FINRA Public Disclosure reveals that Fleissner has been identified in two additional customer initiated investment related disputes containing accusations of his misconduct. Specifically, a customer filed an investment related complaint regarding Fleissner’s activities where the customer requested damages estimated to exceed $5,000.00 supported by allegations that equity trades which the customer had not approved had been placed in the customer’s account while Fleissner was associated with National Securities Corp. Thereafter, a customer initiated investment related complaint involving Fleissner’s conduct was settled for $99,000.00 in damages founded on accusations that the customer was charged unwarranted commissions and fees on stocks placed in the customer’s investment account when Fleissner was registered with National Securities Corp.

Fleissner has been employed by National Securities Corp since June 14, 2011.