• July 19, 2018
• National Securities Corp.

The Wolper Law Firm, P.A. is currently investigating claims against Christopher Kane, a Financial Advisor at National Securities Corp. in South Norwalk, Connecticut.  Christopher Kane first entered the securities industry in 2010 and previously worked at Laidlaw & Company.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 11, 2018, a customer filed a complaint against Christopher Kane, alleging damages of $871,256.  The customer alleged “churning, unauthorized and unsuitable trading…”

https://brokercheck.finra.org/individual/summary/5486515#disclosuresSection

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives.  Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

If you or someone you know was a customer of Christopher Kane and you experienced investment losses, please contact the Wolper Law Firm, P.A. at 800.931.8452 or by email at mwolper@wolperlawfirm.com to discuss your specific situation and the legal options available.  The Wolper Law Firm, P.A. represents investors nationwide in securities litigation and arbitration.

Matt Wolper, the Managing Principal of the Wolper Law Firm, P.A., is a trial lawyers who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  Simply put, he knows how the other side evaluates cases, which gives you a competitive advantage.