Haselkorn & Thibaut, a national law firm for investors, is currently investigating losses from National Securities Corporation to securities fraud or investment fraud propagated by financial advisors’ misconduct. The investment fraud law firm is well-positioned to represent investors who might have lost anything on investing with independent broker-dealers such as National Securities Corporation.
Founded in 1947 and headquartered in Seattle, Washington, National Securities Corporation has underwritten many securities offerings. Some of the companies that the independent broker has underwritten for have so far gone under or disappointed investors. Silver Law Group comes into play when such investments turn sour, and such brokers refuse to corporate in ensuring investors get what is due to them.
Stockbroker malpractice is rare because most advisors provide excellent value and service to clients. Unfortunately, there are always a few “bad apples” that take advantage of clients. This is a formal investigation for investors that have experienced losses by financial advisors at National Securities Corporation.
National Securities Corporation Investigation
Haselkorn & Thibaut is offering a free portfolio review as part of its investigation of National Securities Corporation malpractices. In addition, they are offering an arbitration service to investors who might have fallen prey to National Securities Corporation malpractices. The recognized securities and investment fraud law firm comes with AV-rated lawyers ready to handle any securities arbitration matters on a contingency fee basis.
The law firm specializes in reviewing account activities as well as account statements to determine whether there is any misconduct on the financial advisor side. They also investigate sales practice violations that most brokers rely on to sale fraudulent investment products to unsuspecting investors
The investigation includes sale practice violations propagated by investment brokers taking into consideration investor’s age as well as investment background and other relationships with the financial advisor.
Some of the malpractices that the firm investigate include unsuitable investment advice as well as fraudulent misrepresentations and omissions of material facts. Investors can also rest assured that there needs would be taken care of pertaining to breach of fiduciary duty by brokers as well as variable annuity switching, among other causes that might lead to loss of invested funds.
Investors looking to go through a FINRA arbitration process stress-free on a contingency fee basis should call Contact Haselkorn & Thibaut, P.A. at 1 888-628-5590 or visit InvestmentFraudLawyers.com for a free consultation.
FINRA Arbitration To Recover Losses
While FINRA offers a pathway for recovering any lost funds due to fraudulent practices by independent brokers, the process can be tedious and complicated for an average retail investor handling.
Haselkorn & Thibaut come with over 45 years’ experience when it comes to FINRA arbitration. The firm offers investors a pathway to recover any lost funds due to the broker’s misconduct or mismanagement, stress-free. A team of highly experienced lawyers is always on dial ready to help every step of the arbitration process with personal and professional support.
Any person who has invested with National Securities Corporation should have a portfolio review by an investment fraud lawyer. This broker-dealer has been the subject of many regulatory arbitrations pertaining to the loss of investors’ funds. Having had to contend with 70 FINRA disclosures, 16 of them are customer-initiated.
Several securities fraud law firms have already opened investigations on current and former National Securities advisers believed to have mismanagement investor’s funds. Some of the misconducts that the law firm is investigating relate to unsuitable investment recommendations as well as unauthorized trading and over-concentration.
The Nation Securities Corporation has also found itself at crossroads with FINRA over claims it continued to operate knowing very well it faced a net capital deficiency. The deficiency was mostly because of a variety of accounting errors, among other violations. The broker is also facing a probe for allegedly filling inaccurate financial entries, including overstating its net capital.