Tag Archives: national securities corp problem

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes

August 2016- New York

The FINRA records of  Joseph M. Thurnherr,  a  stock broker who is currently employed by Meyers Associates  disclose  two pending customer disputes and three prior final customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case#16-01460, a customer of Thurnherr’s prior employer First Standard Financial Company alleges damages of $93,624 alleging that his account was unsuitably invested and over concentrated.

In FINRA Case#1-01143, a customer of Thurnherr’s prior employer Legend Securities alleges damages of $536,180 alleging churning, excessive trading, suitability, unauthorized trading, negligence, breach of fiduciary duty and misrepresentation.

 

Thurnherr has been registered with Meyers Associates since 11/2015.  He was registered with First Standard Financial Company from 10/2014-10/2015, National Securities Corp from 11//2012-10/2014 and with Legend Securities from 1/2011-1/2012.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jan E. Haynes-Centaurus Financial Broker-Discloses Customer Disputes

August 2016- La Jolla, CA

The FINRA records of  Jan E. Haynes,  a  stock broker who is currently employed by Centaurus Financial  disclose  a prior regulatory event and 11 prior  customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In  FINRA arbitration 14-01882, a customer of Haynes former employer National Securities Corp., alleged damages of $50,000 for breach of fiduciary duty, misrepresentation, omissions, negligence and breach of contract. That case was settled for $17,500.

Haynes employment history includes:

  • Centaurus Financial                              since 9/2010
  • National Securities Corp.                    1/2007-9/2010

If you have losses in an account handled or supervised by Jan E. Haynes you may be able to recover damages from his former employer through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment

Jericho, New York

According to FINRA records Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In January 2016, FINRA name Kenley Brisard in a complaint alleging that he, another representative and their firm sold an unregistered security. FINRA Case 2010022046101. That matter is currently pending.

In March 2016 Kenley Brisard was discharged by RIdgeway & Conger. The firm alleged that Brisard sold unsuitable products and charged excessive commissions. Kenley Brisard was discharged from National Securities Corporation in 10/1998. National Securities Corp alleged that a branch compliance officer witnessed a phone conversation in which Kenley Brisard represented himself as the CEO of American Express and made other misrepresentations with regard to confidential client information.

Kenley Brisard is not currently registered.

Investors with losses in accounts handled by Kenley Brisard may be able to recover damages from his former employer through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration

May 2016-New York

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

According to FINRA recordsNathaniel Royce Clay has been registered with Laidlaw & Company since 11/2015. Prior to that he was registered with National Securities Corporation from 7/2008-11/2015. FINRA records reveal he was ‘permitted to resign’ from National Securities Corp in 11/ 2015 after an internal review determined that Clay misappropriated non-public customer information.

FINRA records disclose that   FINRA Case 15-03001 is  currently pending. The customer alleges that while Clay was registered with National Securities Corp.  he made unauthorized trades, breached his fiduciary duty and he was negligent. The customer alleges damages of $513,218.

If you have losses in an account handled by Nathaniel Royce Clay contact us to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870