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National Securities Corporation

Date:

July 11, 2022

Type of alert:

FINRA AWC  

National Securities Corporation recently entered into a FINRA Acceptance, Waiver, and Consent. FINRA found that NSC allegedly violated multiple FINA Rules including: deceiving investors, failing to reasonably supervise, failing to conduct proper due diligence, and more. NSC consented, without confirming or denying the allegations, to a censure, a fine, disengorgement, and partial restitution.

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