National Securities Corporation investigation Archives

ER
April 3, 2023

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g April 3, 2023 October 3, 2023

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…

Robert Rex, Esq.
March 31, 2022

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

Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 31, 2022 October 4, 2023

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…

ER
November 1, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g November 1, 2021 October 3, 2023

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…

ER
October 4, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g October 4, 2021 October 4, 2023

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…

Robert Rex, Esq.
September 14, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 14, 2021 September 14, 2021

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…

Robert Rex, Esq.
July 15, 2019

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

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 15, 2019 July 15, 2019

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…

Robert Rex, Esq.
May 13, 2019

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 13, 2019 May 13, 2019

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…

Robert Rex, Esq.
May 11, 2017

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
February 22, 2017

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 22, 2017 February 22, 2017

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) , a former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

Robert Rex, Esq.
August 19, 2016

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 19, 2016 August 19, 2016

UPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …