Vincent John Villani of New York, New York, a stockbroker currently registered with National Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $300,000.00 in damages founded on accusations that the customer had been sold unsuitable private placements by Villani while he was employed by…

Michael Fasciglione of Mineola, New York, a stockbroker formerly registered with Aegis Capital Corp, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $95,000.00 in damages based upon allegations that Fasciglione made misrepresentations to the customer regarding stocks during the time that he was employed by Aegis Capital…

Andrew Benjamin Edenbaum of Aventura Florida, a stockbroker formerly registered with National Securities Corporation, has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Edenbaum participated in private securities transactions while he was registered with National Securities Corporation. Letter…

Mark Sam Kolta of New York New York a stockbroker formerly registered with National Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages based on accusations of them being placed into unsuitable real estate security products by Kolta when he was employed by National…

Carter David Mansbach of New York New York a stockbroker currently registered with National Securities Corporation is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $300,000.00 in damages supported by allegations of Mansbach’s unsuitable over-the-counter equities transactions while he was associated with National Securities Corp. Financial Industry…

National Securities Corporation a securities broker dealer headquartered in Boca Raton Florida has been censured and fined $125,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that it did not timely report customer complaints and failed to supervise contingency offerings. Letter of Acceptance Waiver and Consent No. 2017053208002 (Oct. 27, 2020). According to the AWC,…

Rick Alan Davidson of New York New York a stockbroker formerly registered with Jeffries LLC and National Securities Corp is referenced in a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages supported by allegations that misrepresentations were made by the stockbroker and that equities transactions were unsuitable for the…

Geoffrey Garratt of New York New York a stockbroker formerly employed by National Securities Corp is the subject of a customer initiated investment related arbitration claim where the customer was awarded $58,573.10 in damages based on Garratt being found liable on the customer’s causes of action including fraud and the breach of a fiduciary duty…

Shane Rene Falcon of Miami Florida a stockbroker currently registered with National Securities Corp is the subject of a customer initiated investment related arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that the customer had been placed into a private placement which was not suitable for the customer when Falcon…

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 January 15, 2020 in which the customer requested $123,000.00 in damages based upon allegations that the customer had been placed into a unsuitable real estate investments by Fasciglione during…

Rushdi M. Zalatimo of Jersey City New Jersey a stockbroker currently employed by National Securities Corp has been identified in a customer initiated investment related arbitration claim where the customer sought $200,000.00 in damages founded on accusations that (1) unauthorized trades were effected in the customer’s account and (2) a fiduciary duty that was owed…

Vincent James Mazza of Jersey City New Jersey a stockbroker employed by National Securities Corporation has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any member in any capacity founded on accusations of the stockbroker’s failure to comply with the regulator’s request for information. Case No. 2018060932001 (Oct. 28, 2019). FINRA Public…

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 complaint on March 26, 2018 where the customer sought $10,000.00 in damages supported by accusations that unauthorized stock trades were executed in the customer’s investment account during the…

Marshall Owen Isaacson of Boca Raton Florida a stockbroker formerly registered with National Securities Corporation and Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer requested unspecified damages based upon accusations that (1) contractual obligations had not been complied with by the stockbroker (2) fiduciary duties were…

Debra Collura Bourne (also known as Debra Ann Bourne and as Debra Anne Bourne) a stockbroker formerly registered with First Standard Financial is referenced in a customer initiated investment related arbitration claim where the customer sought $2,000,000.00 in damages founded on accusations that (1) trades were executed by the stockbroker in an excessive manner during…

John Joseph Labarca of Edison New Jersey a stockbroker formerly registered with National Securities Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested $80,000.00 in damages supported by allegations that (1) misrepresentations had been made about investments (2) the customer’s account was handled in a negligent manner…

James J. Mariani of Mineola New York a stockbroker formerly registered with National Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $467,000.00 in damages supported by accusations that (1) fiduciary duties failed to be complied with and (2) real estate security transactions executed in the customer’s…

Todd Joseph Henrich of Iselin New Jersey a stockbroker formerly employed by National Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer was awarded $14,441.79 in compensatory damages based upon Henrich being found liable on the customer’s claims of (1) misrepresentations concerning the terms or risks of investments…

John Kirkland Moy of Boca Raton Florida a stockbroker formerly employed by National Securities Corporation has been terminated from the securities broker dealer on April 5, 2019 based upon allegations of Moy giving bad advice to customers concerning the liquidation of their accounts. This is not the first time that Moy has been terminated from…

Michael Patrick McMahon of Garden City New York a stockbroker formerly registered with National Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer requested $280,000.00 in damages founded on accusations that (1) improper or misleading statements had been made concerning investments (2) the customer’s account was handled in…

William Francis Gillis of Seattle Washington a stockbroker formerly registered with National Securities Corporation is referenced in a customer initiated investment related arbitration claim which settled for $514,600.00 in damages based upon accusations that Gillis gave the customer bad investment recommendations particularly concerning the common or preferred stocks held in the customer’s account while Gillis…

Michael Alan Siegel of Edison New Jersey a stockbroker formerly registered with National Securities Corporation is the subject of a Summary Penalty and Revocation Order in which Siegel has been fined $100,000.00 and his stockbroker registration in the State of New Jersey was revoked based upon the New Jersey Bureau of Securities Bureau Chief’s findings…

Michael Roy Blueweiss of Melville New York a stockbroker formerly registered with UBS Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $600,000.00 in damages based upon accusations that between 2014 and 2017: (1) the customer’s funds had been stolen or otherwise misappropriated by Blueweiss (2)…

Matthew Fleissner of New York 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 $300,000.00 in damages based upon allegations that (1) there was a breach of the customer’s contract (2) the account was negligently administered (3) fiduciary duties…

Marc Anthony Arena of Westbury Connecticut a stockbroker formerly employed by National Securities Corporation is referenced in a customer initiated investment related arbitration claim which was settled for $400,000.00 in damages supported by allegations that (1) Arena breached his contractual obligations to the customer (2) Arena negligently transacted in the customer’s account (3) Arena breached…

James Bryant Eichner Jr. of New York New York a stockstockbroker formerly registered with National Securities Corporation has been fined $10,000.00 and suspended for forty-five days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Eichner executed unauthorized trades in a customer’s account. Letter of…

Richard Anthony Cavileer of Edison New Jersey a stockbroker formerly employed by National Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $438,190.00 in damages founded on allegations that (1) misrepresentations had been made to the customer concerning the terms and conditions of over-the-counter equities investment purchased…

Michael Fasciglione of Mineola New York a stockbroker formerly employed by National Securities Corporation is referenced in a customer initiated investment related arbitration claim which was settled for $467,000.00 in damages supported by allegations that (1) fiduciary duties owed to the customer had been breached and (2) real estate security transactions effected in the customer’s…

Jon Morin of New York New York a stockbroker formerly registered with National Securities Corporation is the subject of a customer initiated investment related written complaint on February 21, 2017 where the customer requested $15,000.00 in damages based upon accusations that unauthorized over-the-counter equities trades were executed in the customer’s equity account. Financial Industry Regulatory…

Kyle Patrick Harrington of San Diego California a stockbroker formerly employed by National Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Extended Hearing Panel’s findings that (1) Harrington converted a customer’s funds (2) Harrington tried to hide that he stole funds…

Kevin Richard Wilson of New York New York a stockbroker formerly employed by Laidlaw & Company (UK) Ltd. is referenced in a customer initiated investment related arbitration claim where the customer sought $2,000,000.00 in damages supported by accusations that between 2010 and 2017, private placements sold to the customer were not appropriate. Financial Industry Regulatory…

Donald George Padilla of Alhambra California a stockbroker formerly employed by National Securities Corporation is the subject of a Financial Industry Regulatory Authority (FINRA) investigation concerning possible violations of FINRA Rule 2010, 8210 and 4511 and National Association of Securities Dealers (NASD) Rule 3110. FINRA Public Disclosure reveals that Padilla has been terminated from two…

Kirt Samuel of New York New York a stockbroker formerly employed by National Securities Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested $5,750,000.00 in damages supported by allegations that (1) unauthorized trades were executed in the customer’s account (2) the customer’s over-the-counter equities portfolio was churned…

Jonathan William Iraggi of Red Bank New Jersey a stockbroker formerly registered with Garden State Securities Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Iraggi traded in a customer’s account without authorization. Letter of Acceptance Waiver and…

David Woods Unsworth Jr. of San Francisco California a stockbroker formerly employed by National Securities Corporation has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Unsworth engaged in private securities transactions. Letter of Acceptance Waiver and Consent No. 2016050066401…

James J. Mariani of Mineola New York a stockbroker formerly registered with National Securities Corp is referenced in a customer initiated investment related arbitration claim where the customer requested $432,020.69 in damages founded on allegations including (1) negligence (2) breach of fiduciary duty and (3) suitability relating to alternative investment transactions effected in the customer’s…

Ronald Harris Rothchild of Garden City New York a stockbroker formerly employed by Raymond James Financial Services Inc. has been discharged by the firm and its advisory affiliate on April 8, 2016 supported by allegations that Rothchild (1) placed trades in a customer’s investment account that were neither suitable nor authorized by the customer and…

Marshall Owen Isaacson of Boca Raton Florida a stockbroker formerly registered with National Securities Corporation is referenced in a customer initiated investment related arbitration claim which was resolved for $92,000.00 in damages based upon allegations that over-the-counter equities transactions had been placed in the customer’s account that were not suitable for the customer. Financial Industry…

Vincent James Mazza of Iselin New Jersey is a stockbroker currently employed by National Securities Corp who is the subject of a customer initiated investment related arbitration claim in which the customer requested $300,000.00 in damages supported by accusations of (1) breach of contract (2) breach of fiduciary duty and (3) negligence relating to over-the-counter…

Anthony Mediate of Red Bank New Jersey is a stockbroker formerly registered with National Securities Corporation who is the subject of a customer initiated investment related written complaint on August 4 2015 in which the customer alleged that over-the-counter equities transactions were effected in the customer’s account on an unsuitable and excessive basis. Financial Industry…

Michael Ciro Colletti of Melville New York is a stockbroker formerly registered with National Securities Corporation who has been fined seven thousand five-hundred dollars and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement containing findings that Colletti failed…

Gregory Gassoso of Edison New Jersey is a stockbroker formerly registered with National Securities Corporation who has been fined five thousand dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he executed unauthorized stock trades in a customer’s investment account. Letter of Acceptance…

Zachary T. Bader, of Melville, New York, a stockbroker formerly registered with National Securities Corporation who is permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities, has been sanctioned by FINRA on June 21, 2017, based upon allegations of his failure to be in compliance with a FINRA Arbitration…

Rick Douglas Konecny, of Chicago, Illinois, a stockbroker formerly registered with National Securities Corporation, has been suspended indefinitely from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations of his failure to provide FINRA with information about his business activities. FINRA Notice of Suspension, No. 2016049543601 (Aug. 18, 2017)….

Michael Ciro Colletti, of Melville, New York, a stockbroker formerly registered with National Securities Corporation, was named in a Financial Industry Regulatory Authority (FINRA) Complaint containing allegations that he did not supervise the firm’s cold caller representatives, who utilized scripts for speaking with customers that contained inappropriate and possible investment misrepresentations. Department of Enforcement v….

Keith Joseph Michelfelder, of New York, New York, a stockbroker formerly registered with Joseph Gunnar & Co. LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in the firm’s customer accounts. Letter of Acceptance,…

Jack Frank Bruscianelli, of Saint Louis, Missouri, a stockbroker currently registered with National Securities Corporation, is the subject of a customer initiated investment related arbitration claim on April 18, 2017, in which the customer requested $300,000.00 in damages based upon allegations that Bruscianelli breached his fiduciary duties and made unsuitable investment recommendations to the customer…

Samir Collauku, of Edison, New Jersey, a stockbroker formerly registered with National Securities Corporation, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide FINRA staff with information relating to his business activities. Letter No. 2014043784001 (Feb. 2, 2016). FINRA Public…

Kyle P. Harrington, of San Diego, California, a stockbroker formerly registered with National Securities Corporation, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that he converted a customer’s funds, sold away from his firm, and falsified documentation to FINRA in regard to his activities. Department of Enforcement…

William Francis Gillis, of Seattle, Washington, a stockbroker formerly registered with National Securities Corporation, has been named in a customer initiated investment related written complaint, which settled on May 22, 2017, for $80,000.00 in damages based upon allegations that he breached his fiduciary duties to the customer and negligently handled the customer’s investment account. Financial…

Tony Kang, of Northbrook, Illinois, a stockbroker formerly registered with Fifth Third Securities, Inc., has been named in a customer initiated investment related arbitration claim, which settled on September 24, 2015, for $10,000.00 in damages based upon allegations that Kang made unsuitable investment recommendations to the customer regarding a unit investment trust product. Financial Industry…

Jodi Ann Reed, of Chicago, Illinois, a stockbroker registered with Stifel, Nicolaus & Company, Inc., was terminated from employment on May 20, 2016, based upon allegations that the firm lost confidence in her following the receipt of two customer initiated investment related disputes pertaining to Reed’s purported sales practice violations. Financial Industry Regulatory Authority (FINRA)…

Felippe Teixeira Alves, of New York, New York, a stockbroker currently registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim on June 20, 2016, in which the customer requested $5,750,000.00 in damages based upon allegations that Alves effected unauthorized trades, churned the customer’s investment account, made investment based…

Allan Montalbano, of Westbury, New York, a stockbroker formerly registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim, which settled on March 31, 2017, for $15,000.00 in damages based upon allegations that Montalbano breached his contractual duties, made misrepresentations to the customer, breached his fiduciary obligations, and violated…

Michael Alan Siegel, of Edison, New Jersey, a stockbroker formerly registered with National Securities Corporation, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon his failure to provide a response to FINRA staff’s information request. Letter No. 2016050346301 (Oct. 28, 2016). FINRA Public Disclosure reveals…

Kevin Keane, of Chicago, Illinois, a stockbroker currently registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim, which settled on June 26, 2014, for $11,800.00 in damages based upon allegations that Keane negligently handled the customer’s investment account, breached his fiduciary duties, made misrepresentations to the customer, effected…

Todd Joseph Henrich, of Edison, New Jersey, a stockbroker currently registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim, which settled on September 29, 2015, for $26,000.00 in damages based upon allegations that Henrich negligently handled the customer’s investment portfolio, breached his fiduciary duties, made misrepresentations to the…

James Bryant Eichner Junior, of New York, New York, a stockbroker currently registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim on June 30, 2015, in which the customer requested $500,000.00 in damages based upon allegations that Eichner negligently handled the customer’s investment account and breached his fiduciary…

Jason Wilk, of New York, New York, a stockbroker formerly registered with National Securities Corporation, has been named in a customer initiated investment related complaint, which settled on September 7, 2016 for $15,000.00 based upon allegations that Wilk effected unsuitable over-the-counter equities transactions in the customer’s account. On the same day, another customer initiated investment…

Kyle Patrick Harrington, of San Diego, California, a stockbroker formerly registered with National Securities Corporation, has become the subject of a Financial Industry Regulatory Authority (FINRA) investigation, which focuses on allegations that Harrington possibly engaged in private securities transactions, converted customer funds, and failed to cooperate with FINRA regarding allegations of his misconduct. FINRA Matter…

Levert Caldwell, of Red Bank, New Jersey, a stockbroker formerly registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim on September 30, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Caldwell breached his fiduciary duty to the customer, churned the customer’s account, and…

Christopher Kazan, of South Norwalk, Connecticut, a former stockbroker with Maxim Group LLC, was subject to a customer initiated investment related arbitration claim on August 24, 2015, which was settled for $85,000.00 in damages based upon allegations that Kazan effected unsuitable investment transactions in the customer’s investment account between October of 2012 through August of…

Nathaniel R. Clay, of New York, New York, a stockbroker formerly with National Securities Corporation, is the subject of a pending customer dispute in which a customer seeks $513,218.40 in damages based upon the allegation that  Clay committed negligence, breached his fiduciary obligations, and made misrepresentations to the customer. FINRA BrokerCheck reveals that Clay has been…

Michael McMahon, of Westbury, New York, a stockbroker with National Securities Corporation, is presently subject to eight customer initiated investment related arbitration claims alleging fraud.  The customer disputes, which appear to have been lodged between July 20, 2015, and June 20, 2016, all contain allegations that McMahon made negligent misrepresentations to customers, breached his fiduciary to…

Sean P. McCabe, of Westbury, New York, a stockbroker with formerly with National Securities Corporation, is the subject of a customer customer initiated investment related claim in which the customer seeks $550,000.00 in damages based upon the allegations that McCabe committed negligence, breached his fiduciary duty to the customer, and made misrepresentations concerning investments. In…

Glen J. Rauch, of Syosset, New York, a stockbroker with Avenir Financial Group, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Rauch engaged in significant sales practice violations, including the effecting of unauthorized and unsuitable transactions in customer accounts. Department of Enforcement v. Glen Rauch, No….

John Joseph Labarca, of Edison, New Jersey, a stockbroker for National Securities Corporation, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he had not cooperated in a FINRA investigation regarding a customer complaint lodged against him. Letter of Acceptance, Waiver and Consent,…