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 [...]

Berthel, Fisher & Co. Financial Services, Inc. Sanctioned by FINRA for Failure to Perform Due Diligence

2022-06-21T08:11:27-05:00June 21st, 2022|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Berthel, Fisher & Co. Financial Services, Inc. (CRD # 13609) was recently [...]

Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

2022-04-01T10:42:24-05:00March 28th, 2022|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Edward Nicolassy (CRD # 6244539) was recently suspended from the securities industry by [...]

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 [...]

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

2022-02-10T09:08:57-05:00February 10th, 2022|Churning, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

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 [...]

Go to Top