Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that New Jersey-based National Securities Corporation broker Matthew Fleissner has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fleissner (CRD# 5849065).
Matthew Fleissner has spent five years in the securities industry and has been registered with National Securities in Morristown, New Jersey since 2011. He was previously registered with Garden State Securities in Hackensack, New Jersey. He is a registered broker and investment adviser with 35 US states and territories.
According to his BrokerCheck report, Matthew Fleissner has received one customer complaint and was customer complaint that was closed.
In 2014, a customer alleged Matthew Fleissner, while employed at National Securities, executed unauthorized trades. The customer sought unspecified damages in the complaint, which was closed.
In 2013, a customer alleged Matthew Fleissner, while employed at National Securities, charged excessive fees and commissions. The complaint settled in 2014 for $99,000, to which Mr. Fleissner individually contributed $45,000.
According to FINRA rules and federal securities law, financial professionals are prohibited from executing transactions without a customer’s permission or authorization. There are some exceptions, including discretionary accounts and, in some circumstances, margin accounts. Brokers, investment advisers, and broker-dealer firms who effect unauthorized trades may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you or someone you have complaints regarding Matthew Fleissner, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.