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Ernest Dahlman Of B. Riley Securities, Inc. And Formerly With Broad Street Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Ernest Dahlman of B. Riley Securities, Inc.?

Ernest Dahlman (CRD #2166217) who is currently registered with B. Riley Securities, Inc. and located in Costa Mesa, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to B. Riley Securities, Inc., Ernest Dahlman was associated with Broad Street Capital Markets, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ernest Dahlman Customer Complaint

Ernest Dahlman has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were allegations of fraud, fraudulent concealment, negligence, breach of fiduciary duty in violation of Penal Code 496 related to a private placement investment. The customer complaint filed against Ernest Dahlman’s former employer Pacific Imperial Railroad for investment losses caused by the alleged misconduct is pending as of the date of this report.

Ernest Dahlman Red Flags & Your Rights As An Investor

Of course, Ernest Dahlman 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 Ernest Dahlman at B. Riley Securities, Inc. and Broad Street Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Ernest Dahlman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Securities, Inc. and Broad Street Capital Markets, 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.

File A Claim To Recover Your Investment Losses At B. Riley Securities, Inc. Due To Ernest Dahlman

If you have questions about B. Riley Securities, Inc., Broad Street Capital Markets, LLC, and/or Ernest Dahlman 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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