Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


Essex National Securities, Inc.

Essex National Securities, Inc. (CRD #25454, Napa, California) received a censure and fine of $25,000, including disgorgement of $7,000. According to the findings, the firm allowed individuals to engage in a securities business, for compensation, while not properly registered with NASD. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10030112)

Did Essex National Securities, Inc. manage your investments?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation