National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

2022-06-26T17:42:34-05:00June 26th, 2022|Conflicts of Interest, Fraud, Markets and Products, Misrepresentation, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

Christopher Bond Suspended by FINRA from Securities Industry for Unauthorized Discretion

2022-02-13T14:17:50-05:00February 13th, 2022|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Christopher Edward Bond (CRD # 4658534) was recently suspended from the securities industry [...]

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

2022-01-17T15:37:26-05:00December 15th, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

2021-06-15T15:46:40-05:00June 15th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

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