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national securities corp

Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL

Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL 150 150 ER

Andrew Edenbaum Investigation July 2022-Boca Raton, FL According to publicly available records Andrew Edenbaum a currently unregistered broker who last worked for Alliance Global Partners,  discloses 2 final regulatory matters…

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Joseph Alhadeff- Former National Securities Corporation Broker- Permanently Barred from FINRA- New York, NY

Joseph Alhadeff- Former National Securities Corporation Broker- Permanently Barred from FINRA- New York, NY 150 150 ER

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…

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Shaun E. Stein- National Securities Corp. Broker-Discloses 3 Pending Customer Disputes- New York, NY

Shaun E. Stein- National Securities Corp. Broker-Discloses 3 Pending Customer Disputes- New York, NY 150 150 Rex Securities Law

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…

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William John Braun-National Securities Corporation Broker-Discloses 5 Customer Disputes-Boca Raton, FL

William John Braun-National Securities Corporation Broker-Discloses 5 Customer Disputes-Boca Raton, FL 150 150 Rex Securities Law

January 2020 – Boca Raton, FL The FINRA records of William John Braun (CRD#1271500)  , a broker with National Securities Corporation discloses a regulatory event and five pending customer disputes. The Financial Industry Regulatory…

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Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC

Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC 150 150 Rex Securities Law

October 2019- NYC, NY According to publicly available records Albert Foronda.   (CRD#5737620 ,  a  stockbroker  currently registered  with Spartan Capital Securities,  disclose a prior customer dispute and 2 pending customer dispute.…

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Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY 150 150 Rex Securities Law

October 2018- Melville, NY According to publicly available records  Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp.  disclose a prior customer dispute and 2 pending customer disputes..…

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Joseph M. Thurnherr-Former Windsor Street/Meyers Assoc. Broker-Discloses Numerous Customer Suits-New York

Joseph M. Thurnherr-Former Windsor Street/Meyers Assoc. Broker-Discloses Numerous Customer Suits-New York 150 150 Rex Securities Law

March 2018 – New York The FINRA records of  Joseph M. Thurnherr,  a  stock broker who is currently employed by Spartan Capital Securities  disclose  two prior regulatory matters, three pending customer disputes , three prior final…

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Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Rex Securities Law

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

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