FINRA requested information and documents relating in connection with its investigation into a registered representative who Alhadeff supervised.
Joseph Alhadeff (CRD#: 2938087) was registered as a broker with National Securities Corporation in New York, NY from 2012 until 2018. Previously, Alahdeff was registered as a broker with VFinance Investments from March 2012 until December 2012. Alahdeff started his career as a broker in 1997 with Prudential Securities Inc.
Alahdeff has two disclosures on his BrokerCheck report.
November 2020 Regulatory Judgment
- Status: Final
- Initiated By: FINRA
- Allegations: Without admitting or denying the findings, Alhadeff consented to the sanction and to the entry of findings that he, through counsel, informed FINRA that he would not provide information and documents requested by FINRA in connection with its investigation into a registered representative who was supervised by Alhadeff.
- Resolution: Acceptance, Waiver & Consent (AWC)
- Sanctions: Bar
- Registration Capacities Affected: All Capacities
- Duration: Indefinite
- Start Date: 11/27/2020
August 2019 Customer Dispute
- Status: Pending
- Allegations: Breach of fiduciary duty, negligence, breach of contract.
- Damage Amount Requested: $750,000.00
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