Steven Joseph Case (also known as Steve Case) of National Planning Corporation a stockbroker formerly registered with National Planning Corporation is the subject of a customer initiated investment related written complaint on May 24, 2019 in which the customer sought damages estimated to exceed $5,000.00 supported by accusations that the National Planning Corporation customer had been advised by Case to invest in three alternate investments including real estate security products which were not appropriate given the customer’s risk tolerance or other circumstances.
This is not the first time that Case has been accused of trading misconduct by a customer of a securities broker dealer. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that another customer initiated investment related arbitration claim regarding Case’s activities was resolved for $20,000.00 in damages founded on allegations that during the period in which Case was employed by National Planning Corporation, real estate investment trust transactions effected in the customer’s account were unsuitable and led the customer to experience unwarranted investment losses.
Case’s employment with National Planning Corporation has been terminated as of March 2, 2017. Between March 2, 2017 and May 13, 2019, Case was associated with FSC Securities Corporation. Since May 9, 2019, he has been employed by LPL Financial LLC.
