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Troy Goldberg Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 14 Customer Complaints For Alleged Broker Misconduct

Who is Troy Goldberg of B. Riley Wealth Management?

Troy Goldberg

Troy Goldberg (CRD #2342989) 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, Troy Goldberg was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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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:

  • Negligence, churning, unauthorized trading, unsuitable investment recommendations, breach of fiduciary duty, and breach of contract.
  • Unsuitable investment recommendation of private placement.
  • Unauthorized and unsuitable trading.
  • Unsuitable investment recommendations, churning, negligence, and breach of fiduciary duty.
  • Breach of fiduciary duty related to trading on customer’s account.
  • Excessive trading.
  • Misrepresentation and omission of facts.

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?

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 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.

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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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