National Securities Corporation (CRD #7569, Seattle, Washington)
was censured and fined $35,000 for allegedly filing late amendments to Forms U4 and Uniform Termination Notices for Securities Industry Registration (Forms U5), and reclassified customer complaints as sales practice violations, after discussions with FINRA, which resulted in additional late filings.
FINRA's findings stated that National Securities Corporation filed late reports of statistical and summary information regarding customer complaints and settlements.
Also, FINRA's findings stated that National Securities Corporation failed to enforce its established WSPs to ensure timely and accurate NASD Rule 3070 reporting, and the filing of Forms U4 and U5.
(FINRA Case #2011025633901)
The summation of information from FINRA's "Disciplinary and Other FINRA Actions February 2015," ends here.
Call (888) 760-6552 for a free consultation with an attorney if you feel your investment losses may be due to your broker/dealer or financial advisor's recommendations. Soreide Law Group represents our clients nationwide before FINRA.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Phone:
Fax: 1-954-760-6553
Email: [email protected]