Tag Archives: National Alliance Securities LLC.

NatAlliance Stockbroker Sanctioned For Unauthorized Trading

June 24, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Unauthorized Trading   |   Comments Off on NatAlliance Stockbroker Sanctioned For Unauthorized Trading

Robert Steven Clarke of Austin Texas a stockbroker employed by National Alliance Securities LLC (also known as NatAlliance) has been issued an Order by Kentucky Department of Financial Institutions in which he has been fined $3,000.00 and suspended as a stockbroker for five months supported by allegations that he facilitated transactions in NatAlliance customer accounts […]

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BB&T Securities Sued in Arbitration For Fraud

Dean Adam Myerow, of Hasbrouck Heights, New Jersey, a stockbroker formerly registered with BB&T Securities, LLC, has been identified in a customer initiated investment related arbitration claim on April 26, 2017, in which the customer requested $125,000.00 in damages based upon allegations that included violation of MSRB and FINRA rules, failure to supervise, breach of […]

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