Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Washington-based brokerage firm National Securities Corporation has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding National Securities Corporation (CRD# 7569).
Established in Washington in 1947, National Securities Corporation is headquartered in Seattle, Washington and registered with 53 US states and territories. According to the firm’s BrokerCheck report, it has received 61 regulatory events and 15 customer complaints that evolved into arbitration.
In 2015 a customer alleged National Securities Corporation committed fraud, breached its fiduciary duty, executed unauthorized trades, breached contract, failed to supervise, and acted negligently. The complaint resulted in an award to the customer of $42,937.