Tag Archives: Glenn McDowell

National Securities Stockbroker Barred For Unauthorized Trading

March 16, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Glenn McDowell, of New York, New York, a stockbroker formerly associated with National Securities Corporation, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers’ Default Decision containing findings that McDowell effected unauthorized trades in a customer’s account. Department of […]

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National Securities Corporation Stockbroker Charged With Obstructing Investigation

Glenn McDowell, of New York, New York, a stockbroker formerly associated with National Securities Corporation, Inc., was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that McDowell effected unauthorized trades in a customer’s account. Department of Enforcement v. Glenn McDowell, No. 2013035902701 (Oct. 28, 2016). According to the Complaint, from May 24, […]

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