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Tag: National Securities Corporation

Blog, Securities Fraud

National Securities Corporation fined by FINRA

National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...

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Blog, Securities Fraud

National Securities Corporation Fined

National Securities Corporation (CRD #7569, Seattle, Washington) recently submitted an Offer of Settlement in which the firm was censured...

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Blog, Securities Fraud

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...

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Blog, Securities Fraud

Robert Norman Gest, a former financial advisor with National Securities Corporation, suspended from securities industry.

FINRA recently announced that Robert Norman Gest, a financial advisor in Lighthouse Point, Florida, has been suspended from association...

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Blog, Securities Fraud

Harold Sheldon Minsky fined and suspended by FINRA

FINRA recently announced that Harold Sheldon Minsky, a financial advisor with J.H. Darbie & Co., Inc., has been fined $10,000 and...

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Blog, Securities Fraud

National Securities Corporation, in Seattle, Washington, fined by FINRA for securities violations related to its sale of corporate bonds.

FINRA recently announced that National Securities Corporation has been fined $105,000 and required to pay $15,697.91, plus interest, in...

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