Ray Gordos, a New York-based National Securities broker, received one regulatory sanction, six customer complaints and one pending customer complaint. In 2013, Gordos was sanctioned by the State of Massachusetts following allegations he was the subject of six customer complaints, including allegations of excessive trading, unauthorized trading, unsuitable recommendations and negligence. He was placed on conditional registration. He was also accused of other transgressions.
Gordos was registered with Ehrenkrantz King Nussbaum in Melville, New York from July 2003 until September 2003, Joseph Stevens & Company in Brooklyn, New York from September 2003 until June 2004, SW Bach in New York, New York from June 2004 until December 2005, First Republic Group in New York from January 2006 until May 2007 and John Thomas Financial in New York from May 2007 until January 2013. He is currently registered with National Securities Corp in New York and has been since December 2012. He has ten customer disputes against him, one of which is currently pending.