Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of our clients (Claimants) against: NATIONAL SECURITIES CORPORATION and their registered representative (Respondents).  The lawsuit claims that the Claimants, a married couple from Georgia, received a cold call from a NATIONAL SECURITIES’ broker, who had convinced them to open an account […]

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 […]