Tag Archives: National Securities Corp

National Securities Stockbroker Barred By FINRA In REIT Investigation

December 07, 2020  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   Comments Off on National Securities Stockbroker Barred By FINRA In REIT Investigation

Joseph Victor Alhadeff of New York New York a stockbroker formerly registered with National Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Alhadeff neglected to cooperate with FINRA during its investigation into Alhadeff’s supervision of a stockbroker who was associated with […]

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Investors Bring FINRA Arbitration Claim Against National Securities

December 01, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Private Placement Fraud   |   Comments Off on Investors Bring FINRA Arbitration Claim Against National Securities

Rodrigue Lors (also known as Rodrique Lors) of Westbury New York a stockbroker formerly employed by National Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages supported by accusations that the customer had been placed into unsuitable private placement securities by Lors at National […]

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Investors Bring FINRA Arbitration Claim Against National Securities For Unauthorized Trading

November 04, 2020  |   Posted by :   |   Securities Arbitration Claims, Securities Fraud, Unauthorized Trading   |   Comments Off on Investors Bring FINRA Arbitration Claim Against National Securities For Unauthorized Trading

Vincent James Mazza of Jersey City New Jersey a stockbroker formerly registered with National Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $400,000.00 in damages supported by allegations that unauthorized over-the-counter equities trades were effected in the customer’s account during the time that Mazza was associated […]

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National Securities Sued By Investors For Fraud

July 29, 2020  |   Posted by :   |   Direct Participation Programs, Securities Arbitration Claims, Securities Fraud   |   Comments Off on National Securities Sued By Investors For Fraud

Kurt Anthony Stein of New York New York a stockbroker formerly employed by National Securities Corporation has been identified in a customer initiated investment related arbitration claim where the customer sought $35,000.00 in damages founded on accusations that misrepresentations were made to the customer by Stein concerning direct participation program interests or limited partnership interests […]

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Investors Sue National Securities Corporation For Negligence

May 12, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud, Stockbroker Negligence   |   Comments Off on Investors Sue National Securities Corporation For Negligence

Allan Perry Montalbano of Garden City New York a stockbroker formerly employed by National Securities Corporation and Worden Capital Management LLC has been identified in a customer initiated investment related arbitration claim which was resolved for $160,000.00 in damages founded on accusations of (1) breach of a contract governing the customer’s stock trades at National […]

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National Securities Corporation Sued For Negligence

June 30, 2018  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

John Thomas Holly Sr of National Securities Corporation is referenced in a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages founded on accusations including (1) breach of contract (2) negligence and (3) breach of fiduciary duty relating to the customer’s government debt investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. […]

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Customer Sues National Securities Corp For Suitability

January 10, 2018  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News   |   0 Comments

Kevin A. Bostory of Edison, New Jersey, a stockbroker formerly registered with National Securities Corp., is the subject of a customer initiated investment related arbitration claim, where the customer requested $36,509.00 in damages based upon accusations that Bostory breached his fiduciary duties to the customer and effected unsuitable equity transactions in the customer’s account. Financial […]

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National Securities Corp Accused Of Misrepresentation

November 28, 2017  |   Posted by :   |   Boilerroom Sales   |   0 Comments

Michael Fasciglione of Mineola, New York, a stockbroker formerly registered with National Securities Corp., is the subject of a customer initiated investment related written complaint on May 15, 2017, in which the customer requested $23,000.00 in damages based upon allegations of misrepresentation and suitability concerning alternative investments effected in the customer’s account. Financial Industry Regulatory […]

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National Securities Corp Sued For Misrepresentation

September 14, 2017  |   Posted by :   |   Breach of Fiduciary Duty   |   0 Comments

Tuan Phan, of New York, New York, a stockbroker registered with National Securities Corp, is the subject of a customer initiated investment related arbitration claim, which settled on June 30, 2016, for $19,000.00 in damages supported by allegations of negligence in the handling of the customer’s investment account as well as misrepresentation and the breach […]

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