National Securities Corporation Tag Archives

Broker Zachary Bader in National Securities Corporation Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Bader (Bader), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bader recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 18, 2021.

Respondent Bader failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Christopher Jones in Firm National Securities Corporation

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jones (Jones), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on March 22, 2021.

Suitability

There are Recent Customer Complaints with Broker Ross Perloe in Firm National Securities Corporation

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Perloe (Perloe), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Perloe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on May 06, 2021.

Suitability

There are Recent Customer Complaints with Broker Robert Pearlman in Firm National Securities Corporation

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Pearlman (Pearlman), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Pearlman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on May 21, 2021.

Suitability

There are Recent Customer Complaints with Broker Michael Spinosa in Firm National Securities Corporation

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spinosa (Spinosa), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Spinosa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $168,088.00 on June 11, 2021.

Unauthorized trading & suitability

There are Recent Customer Complaints with Broker Nicholas Kraiko in Firm National Securities Corporation

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Kraiko (Kraiko), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kraiko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 11, 2021.

Respondent Kraiko failed to respond to FINRA requests for information.

Broker Steven Schwartz in National Securities Corporation Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schwartz (Schwartz), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on August 12, 2021.

Attorney for clients claims investment strategy was not suitable.

There are Recent Customer Complaints with Broker William Wright in Firm National Securities Corporation

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Wright (Wright), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2021.

Without admitting or denying the findings, Wright consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation into the facts surrounding his termination from his member firm. The findings stated that this matter originated from the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Wright’s firm reporting that he was terminated as a result of him borrowing money from a customer of the firm.

There are Recent Customer Complaints with Broker Michael Brown in Firm National Securities Corporation

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brown (Brown), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on December 23, 2021.

Breach of fiduciary duty. Negligence.

There are Recent Customer Complaints with Broker Michael Brown in Firm National Securities Corporation

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brown (Brown), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on December 23, 2021.

Breach of fiduciary duty. Negligence.