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
Who is Shaun Stein of B. Riley Wealth Management?
Shaun Stein (CRD #4873578) who is currently registered as a broker with B. Riley Wealth Management and located in Jersey City New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to B. Riley Wealth Management, Shaun Stein was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
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:
- Excessive trading.
- The customer alleged that Shaun Stein made unsuitable investment recommendations at National Securities Corp. to invest in common stock, real estate securities in private placements.
- Claimant alleged that Shaun Stein and unsuitable investment recommendation at National Securities Corp. in connection with a private placement investment.
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.
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