Articles Tagged with National Securities Corporation

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Robert AbramowitzPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that New York-based National Securities Corporation broker/adviser Robert Abramowitz has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abramowitz (CRD# 4437589).

Robert Abramowitz has spent 16 years in the securities industry and has been registered with National Securities Corporation in Melville, New York since September 2017. Previous registrations include Oppenheimer & Company in Jericho, New York (2016-2017); Raymond James Financial Services in Garden City, New York (2011-2016); Wells Fargo Advisors in Great Neck, New York (2005-2011); and David Lerner Associates in Syosset, New York (2001-2005). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on October 19, 2001. He is a registered broker and investment adviser with seven US states: California, Florida, New Jersey, New York, Tennessee, Texas, and Virginia. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

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National Securities Corporation

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.

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Keith Michelfelder

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Georgia-based National Securities Corporation broker Keith Michelfelder has been sanctioned by FINRA and temporarily suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Michelfelder (CRD# 3084331).

Keith Michelfelder has spent 19 years in the securities industry and has been registered with National Securities Corporation in Atlanta, Georgia since 2016. Previous registrations include Joseph Gunnar & Company in New York, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination) and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with nine US states: California, Georgia, Indiana, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, and Texas.

According to his BrokerCheck report, he has received one FINRA sanction and two customer complaints.

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Harry Hughes

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 1, 2017 indicate that Texas-based National Securities Corporation broker/advisers Harry Hughes has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hughes (CRD# 829149).

Harry Hughes has spent 34 years in the securities industry and has been registered with National Securities Corporation in Dallas, Texas since July 2017. Previous registrations include WFG Investments in Desoto, Texas (2007-2017); Citigroup Global Markets in Dallas, Texas (1993-2007); Lehman Brothers in New York, New York (1990-1993); Eppler Guerin & Turner in Dallas, Texas (1984-1990); and American General Capital Planning (1976-1977). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with nine US states and territories: Alabama, Connecticut, Florida, Georgia, New Mexico, Oklahoma, Texas, Virginia and Wisconsin.

According to his BrokerCheck report, Harry Hughes has received one customer complaint.

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Rick KonecnyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Illinois-based National Securities Corporation broker Rick Konecny has received several resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konecny (CRD# 1727785).

Rick Konecny has spent 26 years in the securities industry and was most recently registered with National Securities Corporation in Chicago, Illinois (2016). Previous registrations include JP Morgan Securities in Chicago, Illinois; UBS Financial Services in Chicago, Illinois; Morgan Stanley & Company in Chicago, Illinois; Morgan Stanley DW in Chicago, Illinois; and Prudential Securities in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and was discharged from a former employer.

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Rick KonecnyPublic records published by the Financial Industry Regulatory Authority (FINRA) on January 18, 2017 indicate that former Illinois-based National Securities Corporation broker Rick Konecny has received pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konecny (CRD# 1727785).

Rick Konecny has spent twenty-six years in the securities industry and was most recently registered with National Securities Corporation in Chicago, Illinois (2016). Previous registrations include JP Morgan Securities in Chicago, Illinois; UBS Financial Services in Chicago, Illinois; Morgan Stanley & Company in Chicago, Illinois; Morgan Stanley DW in Chicago, Illinois; Prudential Securities in New York, New York; Matthews Holmquist & Associates; Heartland Investment Associates in Hiawatha, Iowa; Dickinson & Company, which has since been expelled by FINRA, in Des Moines, Iowa; Berthel Fisher & Fleischman Financial Services in Cedar Rapids, Iowa; Pruco Securities Corporation; the Prudential Insurance Company of America; and Blinder Robinson & Company. He is a registered broker with Delaware and New York.

According to his BrokerCheck report, he has received two pending customer complaints and was terminated from JP Morgan Securities.

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Ray Anthony San PedroPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based National Securities Corporation broker Ray Anthony San Pedro has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. San Pedro (CRD# 4565686).

Ray Anthony San Pedro has spent 13 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2008. Previous registrations include Rockwell Securities in New York, New York; Chicago Investment Group, which has since been expelled by FINRA, in New York, New York; First Republic Group, which has since been expelled by FINRA, in New York, New York; and Gilford Securities Corporation in New York, New York. He is a registered broker with 43 US states and territories. Continue reading →

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Tuan PhanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New York-based National Securities broker Tuan Phan, also known as Peter Phan, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Phan (CRD# 4179988).

Tuan Phan has spent 15 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2001. Previous registrations include Roan-Meyers Associates in New York, New York (2001) and JW Barclay & Company in Woodbridge, New Jersey (2000-2001). He is a registered broker and investment adviser with 37 US states and territories. Continue reading →

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Marshall IsaacsonPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that Florida-based National Securities broker Marshall Isaacson has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Isaacson (CRD# 1140370).

Marshall Isaacson has spent 33 years in the securities industry and has been registered with National Securities Corporation in Boca Raton, Florida since 2007. Previous registrations include Ladenburg Thalmann & Company in Boca Raton, Florida; Oppenheimer & Company in New York, New York; Ryan Beck & Company in Florham Park, New Jersey; Gruntal & Company in New York, New York; Janney Montgomery Scott in Philadelphia, Pennsylvania; Prudential Securities in New York, New York; Smith Barney in New York, New York; Lehman Brothers in New York, New York; PaineWebber in Weehawken, New Jersey; and JB Hanauer & Company. He is a registered broker with nine US states: California, Connecticut, Florida, Georgia, Maryland, New Jersey, New York, Ohio, and Wisconsin. Continue reading →