Can I recover losses from investments with former National Securities Corporation broker Kay Johnson (CRD# 1583193) regarding stock losses? He has been registered with Onesource Fi LLC in New York, New York, since 2021, and Allied Millennial Partners, LLC in New York, New York, since 2021. He was registered with National Securities Corporation in Seattle, Washington, from 2002 to 2019.
Kay Johnson Customer Complaints
He has been the subject of two customer complaints in 2024, according to his CRD report:
July 2024. “Failure to supervise.” The customer is seeking $2,610,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks, and it took place while he was registered with National Securities Corporation.
January 2024. “Failure to supervise. No dates listed.” The customer is seeking $2,100,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks, and it took place while he was registered with National Securities Corporation.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, National Securities Corporation may be liable for investment or other losses suffered by Kay Johnson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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