INVESTORS: Former National Securities Corporation broker Nicholas John Kraiko was barred by FINRA after he refused to respond to its requests for information.
Nicholas John Kraiko (CRD#:431878) was registered as a broker with National Securities Corporation from 2014 until 2021. Previously, Kraiko was registered as a broker with Princor Financial from 2011 until 2013
Kraiko has three disclosures on his BrokerCheck report.
August 2021 Regulatory Judgment
Initiated By: FINRA
Allegations: Respondent Kraiko failed to respond to FINRA requests for information.
Sanctions: Bar (Permanent)
Registration Capacities Affected: All Capacities
Start Date: 11/15/2021
Regulator Statement: Pursuant to FINRA Rule 9552(h) and in accordance with FINRA’s Notice of Suspension and Suspension from Association letters dated August 11, 2021 and September 7, 2021, respectively, on November 15, 2021, Kraiko is barred from association with any FINRA member in all capacities. Kraiko failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities.
June 2021 Customer Dispute
February 2021 Employment Separation After Allegations
Firm Name: National Securities Corp.
Termination Type: Discharged
Allegations: Registered Representative failed to cooperate and refused to provide requested documentation in the review and resolution of a customer complaint by a client of the firm.
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