Shaun Evan Stein, of Jersey City, New Jersey, a stockbroker currently registered with National Securities Corp, is identified in a customer initiated investment related FINRA securities arbitration claim that was resolved for $20,000.00 in damages based upon allegations of unsuitable recommendations by Stein in regard to a private placement, real estate security, and over-the-counter equity transaction while he was registered with National Securities Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-01400 (October 5, 2021).
This is not the first time that Stein has been involved in a dispute concerning accusations of sales practice violations. FINRA Public Disclosure additionally shows that on August 27, 2021, a customer initiated investment related arbitration claim concerning Stein’s conduct was settled for $25,000.00 in damages founded on allegations of an unsuitable private placement transaction through Stein at National Securities Corp. FINRA Arbitration No. 20-00756.
Stein has been registered with National Securities Corporation since May 1, 2014.
