{"id":7597,"date":"2019-01-18T12:35:53","date_gmt":"2019-01-18T17:35:53","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7597"},"modified":"2019-01-18T15:35:31","modified_gmt":"2019-01-18T20:35:31","slug":"national-securities-corporation-stockbroker-ronald-rothchild","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/national-securities-corporation-stockbroker-ronald-rothchild\/","title":{"rendered":"National Securities Corporation Stockbroker Ronald Rothchild"},"content":{"rendered":"

Ronald Harris Rothchild (CRD #4491932<\/a>) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD #7569 of Melville, NY.) His previous employers include Raymond James Financial Services, Inc. (CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. (CRD #5397) of Syosett, NY. He has been in the industry since 2002.<\/p>\n

\"David-Sullivan-Accused-of-Excessive-Trading-on-More-Than-One-Occasion-300x200\"Rothchild is the subject of eight disclosures, the most recent of which was a customer dispute filed on 7\/30\/2018. In it, the client alleges \u201cb<\/em>reach of contract, negligence, unsuitability, breach of fiduciary duty.\u201d<\/em>\u00a0 Damages requested are $100,000. This case is listed as \u201cpending.\u201d<\/p>\n

Two previous customer disputes have been settled. The first, filed on 3\/28\/2018, alleges that from 7\/26\/2011 through 4\/11\/2016, Rothchild misrepresented certain investments that were unsuitable for her objectives. The client also alleges that her risk tolerance and investment objectives were incorrectly documented on her updated account paperwork. \u00a0This customer requested damages of $149,236.86, and the case was settled for $75,000.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Ronald Harris Rothchild (CRD #4491932) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD #7569 of Melville, NY.) His previous employers include Raymond James Financial Services, Inc. (CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. (CRD #5397) of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[725,590,796,580,581,576],"tags":[1359,167,1422,1423,35],"class_list":["post-7597","post","type-post","status-publish","format-standard","hentry","category-breach-of-fiduciary-duty","category-misrepresentation-and-omission-of-material-facts","category-negligence","category-stockbroker-misconduct","category-unauthorized-trading","category-unsuitable-investment-advice","tag-finra-arbitration-lawyer","tag-national-securities-corporation","tag-ronald-rothchild","tag-ronald-rothchild-national-securities-corporation","tag-unauthorized-trading"],"yoast_head":"\nNational Securities Corporation Stockbroker Ronald Rothchild — Securities Arbitration Lawyers Blog — January 18, 2019<\/title>\n<meta name=\"description\" content=\"Ronald Harris Rothchild (CRD #4491932) is a registered broker 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