On April 27, 2015, National Securities broker, Stuart Conley, was fined $5,000 for trading his customer’s accounts without their written authorization.
According to the FINRA Letter of Acceptance, Waiver, and Consent (AWC), while Stuart Conley was employed at UBS Financial Services, he conducted options trades in 21 of his customer’s accounts without first obtaining their written authorization, as required by FINRA Rules.
Stuart Conley left UBS Financial Services in New York, New York in July 2013 and worked for Further Lane Securities, also located in New York City. He worked at Further Lane Securities until February 2014 when he began working for National Securities Corporation.
If you have lost money investing with Stuart Conley, UBS Financial Services, National Securities, or any of their other brokers, you may be entitled to full recovery of your losses. The attorneys at Fitapelli Kurta prosecute cases on behalf of investors like you who have lost money as a result of unsuitable investments. These cases are taken on a contingency fee basis only, which means our firm will not receive any compensation whatsoever unless and until you recover money.
Cases are filed with the Financial Industry Regulatory Authority (FINRA) and will submit to arbitration. Fitapelli Kurta has filed hundreds of cases before FINRA and has recovered millions on behalf of investors who have fallen victim to broker misconduct. Call 877 – 238 – 4175 to speak directly to an attorney and further discuss the merits of your case.
Our consultations are always free. Time is of the essence so do not delay.
Call 877 – 238 – 4175 now.