Kerry Hoffman Of B. Riley Wealth Management And Formerly With National Securities Corporation and Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Kerry Hoffman of B. Riley Wealth Management?

Kerry Hoffman

Kerry Hoffman (CRD #2224354) 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, Kerry Hoffman was associated with National Securities Corporation, Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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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:

  • Unsuitable and speculative investment recommendations.
  • Unauthorized trading.
  • Unsuitable investments and unauthorized trading.
  • Unsuitable investment recommendation of variable annuity contract.

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?

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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.

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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.

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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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