{"id":9704,"date":"2021-02-02T11:26:48","date_gmt":"2021-02-02T16:26:48","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9704"},"modified":"2021-02-02T11:26:48","modified_gmt":"2021-02-02T16:26:48","slug":"nicholas-palumbo-terminated-for-selling-away","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/nicholas-palumbo-terminated-for-selling-away\/","title":{"rendered":"Nicholas Palumbo Terminated For Selling Away"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9705 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/02\/Nicholas-Palumbo.jpg\" alt=\"Nicholas Palumbo (Nicholas R Palumbo CRD:# 1069948, aka \u201cNicholas Richard Palumbo\u201d And \u201cNick Palumbo\u201d) is a previously registered broker and investment advisor whose last known employer was Park Avenue Securities LLC (CRD#:46173) of Armonk, NY. His previous employers include Guardian Investor Services Corporation (CRD#:6635 of New York, New York, SMA Equities, Inc. (CRD#:3960), and First Investors Corporation (CRD#:305) He has been in the business since 1983.  Palumbo has only one disclosure, his dismissal from Park Avenue Securities on 4\/17\/2020. He was permitted to resign after an investigation into an unapproved private securities transaction in which he was involved. Furthermore, he also solicited clients for this private transaction.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/02\/Nicholas-Palumbo.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/02\/Nicholas-Palumbo-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Nicholas Palumbo (Nicholas R Palumbo CRD:# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1069948\" target=\"_blank\">1069948<\/a>, aka \u201cNicholas Richard Palumbo\u201d And \u201cNick Palumbo\u201d) is a previously registered broker and investment advisor whose last known employer was Park Avenue Securities LLC (CRD#:46173) of Armonk, NY. His previous employers include Guardian Investor Services Corporation (CRD#:6635 of New York, New York, SMA Equities, Inc. (CRD#:3960), and First Investors Corporation (CRD#:305) He has been in the business since 1983. <a href=\"https:\/\/www.silverlaw.com\/blog\/nicholas-palumbo-terminated-for-selling-away\/#more-9704\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Nicholas Palumbo (Nicholas R Palumbo CRD:# 1069948, aka \u201cNicholas Richard Palumbo\u201d And \u201cNick Palumbo\u201d) is a previously registered broker and investment advisor whose last known employer was Park Avenue Securities LLC (CRD#:46173) of Armonk, NY. His previous employers include Guardian Investor Services Corporation (CRD#:6635 of New York, New York, SMA Equities, Inc. (CRD#:3960), and First [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[],"class_list":["post-9704","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Nicholas Palumbo Terminated For Selling Away &#8212;<\/title>\n<meta name=\"description\" content=\"Nicholas Palumbo is a previously registered broker and investment advisor whose last employer was Park Avenue Securities LLC of Armonk, NY.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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