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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

Who is John Holly, Sr. of B. Riley Wealth Management?

John Holly, Sr.

John Holly, Sr. (CRD #1713313) who is currently registered as a broker and investment adviser 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, John Holly, Sr. 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.

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:

  • Advisor recommended unsuitable and risky investments involving TWG L Bonds.
  • Unsuitable investment recommendations of over-the-counter stocks.
  • Misrepresentation and unsuitable recommendations of corporate debt.

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?

best investment fraud lawyers

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.

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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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