Category: National Securities Corp Complaints

Mar 23, 2024

Ali Mahlooji of PHX Financial, Inc.

Ali Mahlooji Of PHX Financial, Inc. And Formerly With National Securities Corporation Has 4 Customer Complaints For Alleged Broker Misconduct Mahlooji (CRD #4830105) who is currently registered as a broker with PHX Financial, Inc. and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc., Ali Mahlooji was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Nov 28, 2022

Dennis Karjanis of Aegis Capital Corp.

Dennis Karjanis Of Aegis Capital Corp. And Formerly With National Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Mr. Karjanis (CRD #5280862) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Dennis Karjanis was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 8, 2022

Gregory Pease Formerly With International Assets Advisory

Gregory Pease (CRD #2416561) who was formerly registered with International Assets Advisory and located in Hoboken, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Gregory Pease was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 8, 2022

David Dunfee of Key Investment Services

David Dunfee Of Key Investment Services LLC Has 3 Customer Complaints For Alleged Broker Misconduct Dunfee (CRD #2607525) who is currently registered with Key Investment Services LLC and located in Bangor, Maine is a subject of one of our many securities industry sales practice abuse investigations.

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Mar 8, 2022

James Gibbs of Equitable Advisors

James Gibbs Of Equitable Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Mr. Gibbs (CRD #3273705) who is currently registered with Equitable Advisors and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations.

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Mar 7, 2022

Johnny Guan of Aegis Capital

Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Guan (CRD #5711977) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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