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
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