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William Braun Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 10 Customer Complaints For Alleged Broker Misconduct

Who is William Braun of B. Riley Wealth Management?

William Braun

William Braun (CRD #1271500) 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, William Braun 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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William Braun Customer Complaints

William Braun has been the subject of 10 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award in favor of the investor. Six of the customer complaints were settled by William Braun’s former employers in favor the investors. Two customer disputes were denied and, to date, the customers have not taken any further action. There is currently one pending arbitration proceeding against National Securities Corporation for William Braun’s alleged misconduct.

Allegations Against William Braun

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Suitability of private placement investment.
  • Misrepresentation related to over-the-counter stocks.
  • Breach of fiduciary duty, negligence and unsuitable investment recommendations of private placements.

William Braun Red Flags & Your Rights As An Investor

Of course, William Braun 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 William Braun at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether William Braun 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?

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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.

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 William Braun

If you have questions about B. Riley Wealth Management, National Securities Corporation and/or William Braun 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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