Sean P. McCabe, of Westbury, New York, a stockbroker with formerly with National Securities Corporation, is the subject of a customer customer initiated investment related claim in which the customer seeks $550,000.00 in damages based upon the allegations that McCabe committed negligence, breached his fiduciary duty to the customer, and made misrepresentations concerning investments. In March 2016, McCabe became subject to another almost identical customer dispute where the customer seeks damages of $150,000.00.
FINRA Public Disclosure records show that McCabe has previously settled two customer disputes. On June 23, 2015, McCabe settled a dispute for $65,000.00 after he was alleged by the customer to have engaged in unauthorized and excessive trading, committed negligence, breached his fiduciary duty to the customer, and made misrepresentations to the customer concerning investments. Since June 2015, McCabe has been registered with Worden Capital.
On November 10, 2014, McCabe settled a customer dispute for $8,500.00 in damages after the customer alleged that McCabe made misrepresentations concerning investments, engaged in unsuitable investment recommendations, and breached his fiduciary duty to the customer.
Guiliano Law Group
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