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 […]
Read More »
Tag Archives: National Alliance Securities LLC.
NatAlliance Stockbroker Sanctioned For Unauthorized Trading
June 24, 2020 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Unauthorized Trading | Comments Off on NatAlliance Stockbroker Sanctioned For Unauthorized Trading
BB&T Securities Sued in Arbitration For Fraud
May 25, 2017 | Posted by : Guiliano Law Group | Bond Fraud, Breach of Fiduciary Duty, Investment and Regulatory News, Securities Fraud | Comments Off on 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 […]
Read More »