Securities Lawyers Blog
Advisor William Braun (Braun), currently employed by National Securities Corporation (National Securities), has been subject to at least eight customer complaints and regulatory action during the course of his career. According to a BrokerCheck report some of the customer complaints concern private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk products.
In January 2020 a customer complained that Braun violated the securities laws by alleging that Braun engaged in sales practice violations related to breach of fiduciary duty, negligence, and unsuitable recommendations concerning investment(s) in private placements. The claim alleges $125,000 and is currently pending.
In November 2019 a customer complained that Braun violated the securities laws by alleging that Braun engaged in sales practice violations related to unsuitable recommendations concerning investment(s) in private placements. The claim alleges $200,000 and is currently pending.