National Securities Corporation – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with National Securities Corporation. If you suffered losses investing with National Securities Corporation, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
National Securities Corporation (CRD# 7569) (SEC# 8-164)
As of August 24, 2016, National Securities Corporation’s FINRA BrokerCheck Report contains the following:
61 Regulatory Event Disclosures
2 Civil Disclosures
15 Arbitration Disclosures
Main Office Location
ONE UNION SQUARE 600 UNIVERSITY STREET
SUITE 2900
SEATTLE, WA 98101
Mailing Address
ONE UNION SQUARE 600 UNIVERSITY STREET
SUITE 2900
SEATTLE, WA 98101
Business Telephone Number
206-622-7200
Direct Owners and Executive Officers
NATIONAL HOLDINGS CORPORATION – PARENT, OWNER
FAGENSON, ROBERT BRUCE (CRD# 1109347) – DIRECTOR
FAGENSON, ROBERT BRUCE (CRD# 1109347) – CHAIRMAN, PRESIDENT & CEO
ISRAEL, JAY MARC (CRD# 1525260) – GENERAL COUNSEL
JOHNSON, KAY ALISON (CRD# 1583193) – CHIEF COMPLIANCE OFFICER
KOENIGSBERG, JOHN A (CRD# 1332374) – SVP, DIRECTOR OF OPERATIONS
LEVIN, ALAN BRUCE (CRD# 3073530) – CFO
LEVIN, ALAN BRUCE (CRD# 3073530) – SECRETARY
RICH, DAVID SEAN (CRD# 2945947) – CHIEF SUPERVISORY OFFICER
RICH, JONATHAN CRAIG (CRD# 2271478) – DIRECTOR OF CORPORATE FINANCE
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with National Securities Corporation and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
