DID WILLIAM JOHN BRAUN CAUSE YOU INVESTMENT LOSSES?

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 (CRD #1271500)

Investment Losses? Let’s talk.

or, give us a ring at (833) 300-6983.

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?

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 (833) 300-6983. Ou

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