Did you lose money investing with National Securities Corporation broker Barbra Shaffer (CRD# 1700153)? Shaffer has been registered with Cambridge Investment Research, Inc. in Fort Lauderdale, Florida since 2019. Previously, Shaffer was registered with National Asset Management, Inc. in Fort Lauderdale, Florida from May to December 2019. Prior to that, Shaffer was registered with National Securities Corporation in Fort Lauderdale, Florida from 2013 to 2019.
Shaffer has been the subject of four customer complaints between 2008 and 2020, one of which was denied and one was closed without action, according to her CRD report:
- October 2020. “Unauthorized trading.” The case is currently pending. The complaint was regarding CDs and took place while Shaffer was registered with National Securities Corp.
- January 2020. “Suitability and breach of fiduciary duty.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding private placements and took place while Shaffer was registered with National Securities Corp.
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 Shaffer’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.