Joseph Alhadeff Investigation
August 2021- New York, NY
According to publicly available records, Joseph V. Alhadeff a broker previously employed with National Securities Corporation discloses a prior regulatory event and a previously settled customer dispute.
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 November of 2020, in FINRA case #2018057297101, Alhadeff consented to the sanctions and to the entry of findings that he, through counsel, informed FINRA that he would not provide information and documents requested by FINRA in connection with its investigation into a broker who was supervised by Alhadeff. Sanctions were a permanent bar from FINRA in all capacities.
In August of 2019, a customer of National Securities Corp. filed FINRA case #19-01773 alleging breach of fiduciary, negligence and breach of contract. That case was settled for $129,524.
Alhadeff was employed with National Securities Corporation from 11/2012-12/2018. Before that time he was V Finance Investments, Inc, and Paulson Investment Company.
If you have losses in an account handled by Joseph Alhadeff, 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.
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