Last Updated: September 2023 (New York, NY)
Sean Hosein Investigation Summary
Here’s what you need to know about New York, NY, stockbroker Sean Hosein:
- Name: Mr. Sean Hosein
- Current Employer: PHX Financial
- Previous Firms: National Securities Corp.
- Function: Stock Broker/ Financial Advisor
- Aliases: Sean Sherwin
- Primary Location: New York, NY
- CRD 4164630
- Can Sean Hosein be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $2.2 Million
- Discloses Outstanding Lien/Judgment: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Sean Hosein As Your Stockbroker?
In 6/2023 a customer of National Securities Corp. filed a FINRA arbitration alleging that Sean Hosein made unsuitable investment recommendations and charged excessive commissions. Damages of $2,200,000 are sought in this currently pending matter.
Sean Hosein discloses the filing of a tax lien against him on 3/2023, in favor of the Internal Revenue Service, in the amount of $59,232. Filed in Bronx, New York State Court.
Allegations of Broker Misconduct Against Sean Hosein
A customer of Sean Hosein has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Charged excessive commissions
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Sean Hosein, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.