Michael Alan Siegel, of Edison, New Jersey, a stockbroker formerly registered with National Securities Corporation, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon his failure to provide a response to FINRA staff’s information request. Letter No. 2016050346301 (Oct. 28, 2016).

FINRA Public Disclosure reveals that on July 5, 2016, a customer filed an investment related arbitration claim involving Siegel’s conduct, in which the customer requested $2,016,064.90 in damages based upon allegations that between 2013 and 2016, Siegel churned the customer’s investment account, effected unsuitable equity and real estate security transactions, made misrepresentations to the customer, and committed fraud.

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Tags: ,

Comments are closed.

%d bloggers like this: