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National Securities Corporation investigation

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…

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Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC

Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC 150 150 Rex Securities Law

Matthew A. Siliato Investigation March 2022 -New York The FINRA records of  Matthew Angelo Siliato,  a  former stock broker who was last employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending…

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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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Robert Dennis Pearlman-Former NSC Financial Advisor-Has Customer Suits-Boca Raton, FL

Robert Dennis Pearlman-Former NSC Financial Advisor-Has Customer Suits-Boca Raton, FL 150 150 ER

Robert Pearlman Investigation October 2021-Boca Raton, FL According to publicly available records Robert Dennis Pearlman,  a  former stockbroker who was previously registered with National Securities Corporation, disclose 2 currently pending customer…

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Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Rex Securities Law

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

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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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Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC 150 150 Rex Securities Law

July 2019-New York, NY The FINRA records of  Michael Salvatore Stanton,  a  financial advisor employed by  Worden Capital Management disclose 2 regulatory events,  3 prior customer disputes, 1 pending customer dispute, a…

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Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York

Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York 150 150 Rex Securities Law

April 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…

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