Sep 11, 2024

Mark Gassoso of B Riley Wealth Management Reviews

DID MARK ANGELO GASSOSO CAUSE YOU INVESTMENT LOSSES? Mark Gassoso Customer Complaints and Reviews Allegations Against Mark Gassoso Mark Gassoso Red Flags & Your Rights As An Investor Of course, Mark Gassoso did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Gassoso at B Riley Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Mark Gassosohas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B Riley Wealth Management also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B Riley Wealth Management Due To Mark Gassoso If you have questions about B Riley Wealth Management and/or Mark Gassoso and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Apr 8, 2024

Shaun Stein of B. Riley Wealth Management

DID SHAUN EVAN STEIN CAUSE YOU INVESTMENT LOSSES? Shaun Stein Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Shaun Stein Customer Complaints In his career, Shaun Stein has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  Two of the customer complaints were settled by National Securities Corp. in favor of the investor for Shaun Stein’s alleged misconduct.  There is currently 1 pending customer complaint filed against Shaun Stein’s current employer, National Securities Corporation, for investment losses caused by his alleged misconduct. Allegations Against Rick Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Shaun Stein Red Flags & Your Rights As An Investor Of course, Shaun Stein did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Shaun Stein at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Shaun Stein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Shaun Stein  If you have questions about B. Riley Wealth Management, National Securities Corporation and/or Shaun Stein and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 21, 2024

Charles Hartley of B. Riley Wealth Management

DID CHARLES DOUGLAS HARTLEY CAUSE YOU INVESTMENT LOSSES? Charles Hartley Of B. Riley Wealth Management And Formerly With Wells Fargo Advisors Financial Network, LLC Has A Customer Complaint For Alleged Broker Misconduct Charles Hartley Customer Complaint Charles Hartley has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were representative took inappropriate risk purchasing unsuitable investments, overtrading options, and deviating from an investment plan.  The FINRA arbitration proceeding was recently filed against B. Riley Wealth Management for Charles Hartley’s alleged misconduct and is still pending. Charles Hartley Red Flags & Your Rights As An Investor Of course, Charles Hartley did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Charles Hartley at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Hartley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Charles Hartley If you have questions about B. Riley Wealth Management, Wells Fargo Advisors Financial Network, LLC and/or Charles Hartley and the management or performance of your accounts,, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 19, 2024

Roger Follis of B. Riley Wealth Management

DID ROGER DANIEL FOLLIS CAUSE YOU INVESTMENT LOSSES? Roger Follis Of B. Riley Wealth Management And Formerly With Wells Fargo Advisors Financial Network, LLC Has A Customer Complaint For Alleged Broker Misconduct Roger Follis Customer Complaint Roger Follis has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were registered representative took inappropriate risk of purchasing unsuitable investments, overtrading options, and deviating from the customer’s investment plan.  The customer recently filed a FINRA arbitration proceeding against B.  Riley Wealth Management for Roger Follis’ alleged misconduct, seeking damages in excess of $2.6 million, that is still pending. Roger Follis Red Flags & Your Rights As An Investor Of course, Roger Follis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Roger Follis at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Roger Follis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Roger Follis If you have questions about B. Riley Wealth Management, Wells Fargo Advisors Financial Network, LLC and/or Roger Follis and the management or performance of your accounts,, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Sep 11, 2023

Kerry Hoffman of B. Riley Wealth Management

DID KERRY L HOFFMAN CAUSE YOU INVESTMENT LOSSES? Kerry Hoffman Of B. Riley Wealth Management And Formerly With National Securities Corporation and Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Kerry Hoffman Customer Complaints Kerry Hoffman has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled by National Securities Corporation in favor of the investor. Two customer complaints were denied by Kerry Hoffman’s former employers and no further action was taken by the investors. There is currently one FINRA arbitration proceeding that was recently filed and is still pending against National Securities Corporation for Kerry Hoffman’s alleged misconduct. Allegations Against Kerry Hoffman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kerry Hoffman Red Flags & Your Rights As An Investor Of course, Kerry Hoffman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kerry Hoffman at B. Riley Wealth Management, National Securities Corporation and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kerry Hoffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management, National Securities Corporation and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Kerry Hoffman If you have questions about B. Riley Wealth Management, National Securities Corporation, Morgan Stanley and/or Kerry Hoffman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Aug 26, 2023

John Holly, Sr. of B. Riley Wealth Management

DID JOHN THOMAS HOLLY, SR CAUSE YOU INVESTMENT LOSSES? John Holly, Sr. Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 5 Customer Complaints For Alleged Broker Misconduct John Holly, Sr. Customer Complaints John Holly, Sr. has been the subject of 5 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by John Holly’s former employer in favor of the investors. Two of the customer complaints were denied and, to date, investors have not taken any further action. Allegations Against John Holly, Sr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: John Holly, Sr. Red Flags & Your Rights As An Investor Of course, John Holly, Sr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Holly, Sr. at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether John Holly, Sr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To John Holly, Sr. If you have questions about B. Riley Wealth Management, National Securities Corporation and/or John Holly, Sr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Aug 6, 2023

William Braun of B. Riley Wealth Management

DID WILLIAM JOHN BRAUN CAUSE YOU INVESTMENT LOSSES? William Braun Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 10 Customer Complaints For Alleged Broker Misconduct William Braun Customer Complaints William Braun has been the subject of 10 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award in favor of the investor. Six of the customer complaints were settled by William Braun’s former employers in favor the investors. Two customer disputes were denied and, to date, the customers have not taken any further action. There is currently one pending arbitration proceeding against National Securities Corporation for William Braun’s alleged misconduct. Allegations Against William Braun A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Braun Red Flags & Your Rights As An Investor Of course, William Braun did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Braun at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether William Braun has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To William Braun If you have questions about B. Riley Wealth Management, National Securities Corporation and/or William Braun and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jul 30, 2023

Viqas Akhtar of B. Riley Wealth Management

DID VIQAS AKHTAR CAUSE YOU INVESTMENT LOSSES? Viqas Akhtar Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 7 Customer Complaints For Alleged Broker Misconduct Viqas Akhtar Customer Complaints Viqas Akhtar has been the subject of 7 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled in favor of the investors. The other four customer complaints were denied by the advisor’s former employers and, to date, the customers have taken no further action. Allegations Against Viqas Akhtar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Viqas Akhtar Red Flags & Your Rights As An Investor Of course, Viqas Akhtar did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Viqas Akhtar at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Viqas Akhtar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Viqas Akhtar If you have questions about B. Riley Wealth Management, National Securities Corporation and/or Viqas Akhtar and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jul 29, 2023

Troy Goldberg of B. Riley Wealth Management

DID TROY JASON GOLDBERG CAUSE YOU INVESTMENT LOSSES? Troy Goldberg Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 14 Customer Complaints For Alleged Broker Misconduct Troy Goldberg Customer Complaints Troy Goldberg has been the subject of 14 customer complaints that we know about to recover investment losses. One customer complaint went to arbitration and resulted in an arbitration award against his employer for Troy Goldberg’s misconduct. Eleven customer complaints were settled by Troy Goldberg’s former employers. The remaining 2 customer complaints was denied and, to date, the customers have not taken any further action. Allegations Against Troy Goldberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Troy Goldberg Red Flags & Your Rights As An Investor Of course, Troy Goldberg did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Troy Goldberg at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Troy Goldberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To Troy Goldberg If you have questions about B. Riley Wealth Management, National Securities Corporation and/or Troy Goldberg and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 28, 2023

James Greene formerly with B. Riley Wealth Management

DID JAMES LEE GREENE CAUSE YOU INVESTMENT LOSSES? James Greene Formerly With B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Greene formerly with B. Riley Wealth Management? James Greene (CRD #2974053) who was formerly registered with B. Riley Wealth Management and located in Boca Raton, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to B. Riley Wealth Management, James Greene was associated with National Securities Corporation and First Command Financial Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Greene Customer Complaints James Greene has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by James Greene’s former employers in favor of the investors. The other customer complaint remains pending against National Securities Corp. Allegations Against James Greene A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Greene Red Flags & Your Rights As An Investor Of course, James Greene did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Greene at B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning on alert to review carefully the activity and performance of their accounts and question whether James Greene has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At B. Riley Wealth Management Due To James Greene If you have questions about B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning and/or James Greene and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading