Joseph Alhadeff, formerly with National Securities Corp., Barred by FINRA
Have you lost money with financial advisor Joseph Alhadeff? We are looking into allegations made about Joseph V. Alhadeff from New York, New York. FINRA (the Financial Industry Regulatory Authority) barred Joseph Alhadeff from the securities industry. FINRA alleged that Joseph Alhadeff failed to respond to its investigation. FINRA was investigating a high-risk representative of Alhadeff’s former firm, National Securities Corp. The representative was supervised by Alhadeff, and Alhadeff refused to provide documents and information to FINRA’s investigators.
Joseph Alhadeff (CRD # 2938087) was a financial advisor and registered representative of National Securities Corp. from November 2012 to December 2018. He worked in a branch office in New York, New York. He was also terminated by National Securities Corp.
Brokerage firms like National Securities Corp. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against National Securities Corp.