This case was related to a National Securities Corporation customers purchase of a large number of shares in a company called Islet Sciences. The FINRA Brokercheck report also reflects the main address in Boca Raton, Florida. Between April 2018 and July 2018, negligently omitted to tell investors in two offerings related to GPB Capital about delays in the issuers required public filings, including audited financial statementsfor which FINRA has ordered the firm to pay restitution of more than $625,000 to those customers; Between January 2005 and April 2020, failed to obtain locates for over 33,000 short sale transactions as required by Rule 203(b)(1) of Regulation SHO under the Exchange Act; Between September 2013 and May 2017, failed to reasonably supervise one of its representatives by failing to respond to multiple red flags that he was falsifying information about customers assets and suitability information in order to avoid NSCs limits on concentration levels that applied to his non-traded real estate investment trust recommendations; and. This is a national investigation involving the sales practices and product sales of investment products to clients. In December 2013, a FINRA arbitration panel awarded a Colorado investor more than $219,000 in damages for investment losses related to a National Securities Corporations financial advisors recommendations that she put her money into unsuitable mutual funds. This is a national investigation involving the sales practices and product sales of investment products to clients. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. WebIf you held or currently hold accounts with National Securities Corp, you should contact Peiffer Wolf Carr & Kane immediately for a FREE Consultation. ARBITRATION ATTORNEYS UNCOVER SECRET ARRANGEMENT: HOW MANY CASES MUST BE VACATED NOW, FINRA? Website vulnerabilities are defects that may allow an attacker to violate a security policy to cause some impact or consequence, particularly those vulnerabilities that allow increased levels of access or the ability to interfere with the normal operation of the server or site. The new firm can move potential hires and recruits in either direction. Class Period: F All Rights Reserved. We represent investors in FINRA arbitration claims on a contingency fee basis. She received her law degree from American University in 2005. According to the allegations in the lawsuit, NATIONAL SECURITIES CORPORATION (NSC) failed to disclose the high fees and commissions earned for these illiquid investment recommendations. But one detail is that the various parts of the enterprise will now operate under the B. Riley brand. |Legal & Advertising Disclaimers. (Case # 2013036454901). On June 23, 2022, FINRA announced that it sanctioned National Securities Corporation around $9 million. []. Anyone who invested with National Securities in encouraged to get a free According to investment bank Robert A. Stanger & Co. Inc., January nontraded REIT sales to retail investors totaled just $596 million. Scott focuses his law practice on securities arbitration and litigation and plaintiff-side class action litigation, representing individual investors and institutions in claims against brokerage firms, investment advisors, commodities firms, hedge funds and others. Webmaintains your account, National Financial Services at (800) 801-9942 and COR Clearing LLC at (800) 811-3487 for instructions on how they may assist you by providing prompt Our team typically handles securities and investment-related legal claims on a contingency or success-fee basis. NSC also failed to enforce, establish, and maintain a sufficient supervisory process /system designed to comply with rules in connection with the sale of private placements for investors. However, FINRA arbitration offers investors a potential path to recovery of their investment losses. YOUR LEGAL RIGHTS AND OPTIONS IN THIS SETTLEMENT. This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply. (Case # 01-04480). Soreide Law Group works on a contingency fee and represents our clients nationwide before FINRA. The contact form sends information by non-encrypted email, which is not secure. The White Law Group announces the filing of a FINRA arbitration claim against National Securities Corporation involving high-risk non-traded REITs. A National Securities Arbitration & Investment Fraud Law Firm. National Securities Corporation entered into a Letter of Acceptance, Waiver and Consent (AWC) with FINRA in which the firm was censured and ordered to pay restitution of $175,000 for failing to have reasonable grounds to believe that private placements offered by Provident Royalties, LLC and Medical Capital Holdings, Inc. were suitable for any customer. (FINRA Case #2009019068201). WebGilman Law LLP, a leading national securities law firm, is now accepting claims for lawsuits on behalf of Lincoln Educational Services Corporation shareholders. Also, see Table 2, Worst Firms Ranked by Pending Customer Complaints. | GPB Capital Lawsuit Christopher Ortiz is a registered broker with National Securities Corporation and an Investment Adviser registered with As such, publicly censured and ordered to pay $175,000 in restitution to affected investors. The lawsuit claims that the Claimants, a married couple WebPeiffer Wolf and Meyer Wilson are currently investigating claims against Joseph Gileno of Sovereign Global Advisors LLC and National Securities Corporation for his recommendation of GPB Capital Holdings funds and potentially other alternative investments. The investor alleged that a National Securities, In February of 2015, National Securities Corporations financial advisor John Joseph Labarca (, was permanently barred from the securities industry for allegedly committing serious misconduct, including failing to produce requested documents and failing to cooperate with FINRA investigators and enforcement staff. The State of Indiana Securities Division and National Securities Corporation entered into an Order of Consent and agreed in December 2013 to a fine for failure to properly supervise a financial advisor doing business in Indiana. On December 4th, 2014, National Securities Corporation (CRD #7569, Seattle, Washington) submitted a Letter of Acceptance, Waiver, and Consent in which the firm was censured and fined $35,000 for allegedly filing late paperwork with FINRA, as well as reclassifying customer complaints as sales practice violations. My in-laws lost their retirement funds to a dishonest broker. The lawsuit states that the Respondents actions have caused the Claimants alleged damages of approximately $1,000,000.00 The lawsuit allegations are as follows: negligence, breach of fiduciary duty, negligent supervision, breach of contract, fraud, and violation of Floridas Investor Protection Act 517. In August 2018, Reuters published a report noting that in late 2016 Fortress Biotech acquired a controlling stake in National Securities parent company, National Holdings, and has since used the brokerage firm to raise money for some of Fortresss high-risk bio-tech companies. See Table 1, Worst Firms by Firms Current Brokers Histories of Resolved Customer Complaints. In this latest dispute, Tesla, followed by news that Christopher Ortiz | National Securities Corporation | GPB Capital Lawsuit Who is Christopher Ortiz? document.getElementById( "ak_js_2" ).setAttribute( "value", ( new Date() ).getTime() ); 2022 Peiffer Wolf Carr Kane Conway & Wise, LLP. National Securities was previously named in a 2017 Reuters report that identified 48 brokerage firms in which at least 30% of the firms brokers have red flags on their records. The lawsuit alleges that the Claimants have suffered significant losses during a time when the financial markets have enjoyed record returns of actual damages of no less than $80,000. According to securities industry rules and regulations, unsuitable investment advice, securities concentration, fraudulent misrepresentations and omissions of material facts, breach of fiduciary duty, conflicts of interest, variable annuity switching are among the causes of action that may be available to investors in claims for damages against brokerage firms and their financial advisors in a securities arbitration claim filed with the Financial Industry Regulatory Authority (FINRA). A lawsuit filed last week in U.S. District Court for the Southern District of New York by Kay Johnson claims she was fired for her research into insider trading by (Case # CO-15-8256-S). As alleged, a National Securities Corporation supervisor approved the new accounts at the time as well. We are happy to discuss any questions related to our fees as well as different financial arrangements we can structure. Federal incident notification guidelines, including definitions and reporting timeframes can be found here. If you invested with brokers at National Securities Corporation, Contact Peiffer Wolf immediately for a FREE Consultation. Design a site like this with WordPress.com. National Securities Corporations financial advisors allegedly made unsuitable recommendations. Joe Peiffer, Responsible Attorney. FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. The State of Indiana Securities Division and NSC signed an Order of Consent and agreed to a fine in December 2013 for failure to supervise a broker doing business in Indiana. 15 disclosures reference arbitration matters. Insecure configurations, design choices, and changing environmental conditions can also cause vulnerabilities. The breakdown of these disclosures are: National Securities Corporation is based in Seattle, Washington, and the firm is licensed to operate in 53 U.S. states and American territories. Mainly, FINRA sanctioned the securities broker, who worked for Joseph Stone Capital LLC. Attorney Advertising. Thats whats most exciting to me, said Charles Hastings, co-CEO of the new B. Riley Wealth Management. FINRA alleged that National Securities Corporation continued to conduct a securities business while the firm was facing a net capital deficiency due to a variety of accounting errors and violations. While employed as a financial advisor at NSC, Mr. Labarca was based in Houston, Texas. Need CISA's help but don't know where to start? Filed in 2020, the complaint alleges that as a representative of National Securities Corporation, Jay Sheth recommended an unsuitable private placement product. named in a 2017 Reuters report that identified 48 brokerage, firms in which at least 30% of the firms brokers have red flags on their records, approximately $9 million it received for underwriting 10 public offerings, FINRA found NSC to be in violation of numerous securities laws and asserted that, NSCs conduct was aimed at artificially stimulating demand and supporting the price of the offered securities, which tended to be thinly traded, in the immediate aftermarket., pay more than $625,000 in restitution for failing to disclose material information to customers who purchased. Northstar Healthcare and AR Global NYC REIT are currently down 75% and 50% respectively. Lawsuit Filed Against National Securities Corporation for Investment Losses. National Securities Corporation entered into a Letter of Acceptance, Waiver and Consent (AWC) with FINRA in which the NSC was ordered to pay $175,000 for Plaintiffs and the Class Members claim that Defendant negligently offered and recommended securities of Beamreach Solar (f/k/a Solexel) forsale to them, without a reasonable basis. On December 29th, 2015, National Securities Corporation (CRD #7569, Seattle, Washington) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $4,000 for allegedly engaging in dishonest and unethical business practices, by both employing an individual who engaged in cold-calling without being registered as an agent under Connecticut securities law, and employing one or more agents who used sales presentations to mislead potential customers. Before recommending an investment, a broker-dealer has a fiduciary duty to adequately disclose the risks involved in the investment and to perform the necessary due diligence to determine whether the investment is suitable for the investor. The Finra settlement dealt with a lot of legacy issues and it was important to close that door prior to the integration with B. Riley, Mullen said. This field is for validation purposes and should be left unchanged. WebSAN FRANCISCO, July 14, 2020 (GLOBE NEWSWIRE) -- Hagens Berman urges investors in J2 Global, Inc. (NASDAQ:JCOM) to submit their losses now. The dispute went before a FINRA arbitration panel, which found in favor of the investor. 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 Hospitality Investors Trust REIT Lawsuits, National Securities Corporation Investigation, Northstar Financial Services (Bermuda) Investigation, Clark Harris and Sigma Financial Corporation Investigation, Stephen Swensen Ponzi Scheme Investigation, Credit Suisses actions caused DGAZ to become completely dislocated from the index. As alleged, National Securities Corporation failed to conduct adequate due diligence of private placements offered and failed to establish, maintain and enforce a sufficient supervisory system designed to comply with rules in connection with the sale of private placements. "We believe there are many more investors who have suffered losses in alternative investments who just don't realize they have recourse, or may be unaware of any wrongdoing," said D. Daxton White, managing partner of The White Law Group, a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law firm with offices in Chicago, Illinois. While employed as a financial advisor at National Securities Corporation, Mr. Labarca was based in an office in Houston, Texas. We pride ourselves on providing quality legal services to our clients and handle securities fraud cases throughout the country. On March 21st, 2001, a claimant was awarded more than $500,000 after alleging that National Securities Corporation employees had engaged in churning and unauthorized trading. In 2011, National Securities Corporation was ordered to pay $175,000 in restitution to affected investors for its misconduct relating to a failed private placement. Several of them have allegedly recommended NYC REIT, Phillips Edison REIT, AFIN REIT, GWGs L Bonds, Franklin Income Fund, GPB, and potentially other alternative investments to investors. Here is a brief summary of FINRAs allegations against Kling. The firm is led by Scott Silver, a former Wall Street defense attorney who has been representing customers in securities and investment fraud cases since 2002. On April 15th, 2015, National Securities Corporation (CRD #7569, Seattle, Washington) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000 for reportedly failing to disclose that the firm would receive selling compensation for a private placement that it had marketed to potential investors. After having been open since 1947, the year Jackie Robinson first played for the Brooklyn Dodgers, National Securities Corp. told Finra on Monday it was shutting down. Also, see Table 2, Worst Firms Ranked by Pending Customer Complaints. Abuse or misuse of a system or data in violation of policy. He shares the title with Mike Mullen, the former head of National Securities. A federal court authorized this Notice. The Claimants, a married couple from New York, maintained accounts with the Respondent. Please. The claim further alleges that National Securities Corporation unsuitably invested its client in the following non-traded REITs: First Capital REIT, American Finance Trust (AFIN), New York City REIT and ARC Healthcare Trust II, Inc. For more information about The White Law Group call our Chicago office at 312-238-9650 or visit us on the web at http://www.whitesecuritieslaw.com. Attempts to gain unauthorized access to a system or its data, Unwanted disruption or denial of service, or. Non-traded REITs do not re-price on a regular basis, are expensive, have historically been outperformed by REITs that are traded on national exchanges, and carry significant risk. National Securities Corporation was included on this list, with Reuters finding that 34.6 percent of the companys 714 brokers had at least one piece of negative information on their record. 62 disclosures include regulatory events. 62 disclosures include regulatory events. Haselkorn & Thibaut (InvestmentFraudLawyers.com) is currently investigating National Securities Corporation for allegations of financial advisor malpractice. When such investments go bad, investors are often left with few, if any, options to recover their lost funds. Peiffer Wolf has begun an investigation into the brokers at National Securities Corporation. In October 2017, Financial Advisor Magazine published Firm Does What FINRA Wont: Rates 30 Worst Brokerage Firms (10/24/17). We have a proven track record helping creditors and investors recover funds, both in the UK and abroad, with particular expertise in cases involving bitcoin scams and binary option trading fraud. The claim, filed by The White Law Group, was submitted to FINRA Dispute Resolution on behalf of a California resident alleging claims for violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision. If it can be determined that the financial advisor violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim.". National Securities Corporation Investor Fraud. We have over 50 years of experience and a 95% success rate. WebNational Securities Corp is now facing allegations of insider trading, retaliatory termination, sexual harassment, and gender discrimination. WebIf you suffered investment losses with Mr. Ciocia through National Securities Corporation, Contact Peiffer Wolf immediately for a FREE Consultation 585-310-5140. Reuters reported the results of a comprehensive investigative report in 2017 that focused on broker-dealers and investment firms that currently employ a high concentration of financial advisors and brokers who had red flags on their record with FINRA. The lawsuit alleges that the losses they suffered were sustained because the Respondent mishandled the Claimants assets by failing to properly allocate and diversify the Claimants life savings. FINRA also alleges that the firm did not maintain accurate and current books and records, as well as failed to create and maintain a system to supervise employees. On July 15th, 2013, National Securities agreed to pay a $40,000 fine in order to settle the allegations. At issue is the price of shares offered in a private placement. Contingent fee. Dedicated to the representation of investors in claims against their financial professional or brokerage firm, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions. This means that you will not have to pay an hourly rate or pay out-of-pocket in advance for legal representation. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. Many of the dividend payments made by non-traded REITs do not actually represent distribution of earnings from the REIT, but instead either represent debt or a return of principal. As alleged, a supervisor approved the new account documents. A private placement investment is notoriously risky for most main street type investors. In 2011, National Securities Corporation waspublicly censured and ordered to pay $175,000 in restitution to affected investorsfor its misconduct relating to a failed private placement. The Settlement provides two types of benefits to Class Members: 1) payment of between approximately 10% or 40% of your investment amount in Beamreach, totaling $4,650,000 for the entire Class on a gross basis before deduction of attorneys fees, costs, and class administrative expenses, depending on whether you invested in the Series D Preferred Stock; Series D-1 Preferred Stock; or the Series D-2 Note Offering; and 2) two years of commission-free brokerage services from Defendant (or any acquiring firm should Defendant cease offering brokerage services), commencing at a date certain. Among the reasons for the fine include the firms disclosure failures regarding GPB Capital. As such, we believe that part of our role as attorney is to offer a supportive environment for our clients and to provide advice and support as we attempt to recover these investment losses. It is alleged that National Securities Corporation failed to perform the necessary due diligence on these investments prior to recommending them to this particular investor. In February of 2015, National Securities Corporations financial advisor John Joseph Labarca (CRD#: 2030473) was permanently barred from the securities and investment industry for allegedly committing serious misconduct, including not producing requested information and failing to cooperate with FINRA investigators. Lost their retirement funds to a National Securities Corporation Group announces the filing of a system or data., or sexual harassment, and investor protection Law firm with offices in Chicago Illinois... Group is a National Securities Corporation Firms Current brokers Histories of Resolved Complaints. 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