July 2021 – New York, NY
According to publicly available records, a National Securities Corp. broker Shaun E. Stein, discloses 3 pending and 2 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 May 2020, a National Securities Corp. customer filed a FINRA arbitration alleging that an investment in a real estate private placement is unsuitable and seeks damages of $750,000.
In March 2020, a National Securities Corp. customer filed a FINRA arbitration alleging that a real estate investment is unsuitable and is seeking damages of $100,000.
Stein has been employed by National Securities Corporation since 5/2014.
If you have losses in an account handled by Shaun E. Stein, call 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.
Florida-561 391 1900