Category: B. Riley Wealth Management

Did You Lose Money Because of Nitin Bahirwani?

Filed: March 20, 2024

Nitin Bahirwani has been the subject of five (5) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Nitin Gobindram Bahirwani.

Who Is Nitin Gobindram Bahirwani of B. Riley Wealth Management?

• Advisor Name: Nitin Gobindram Bahirwani
• Aliases: Nitin Gobindram Bahirwani
• CRD: 4748899
• Location: Miami, Florida
• Current Employer: B. Riley Wealth Management
• Previous Firms: National Securities Corporation, NSM Securities, Inc., and Aura Financial Services, Inc.
• Number of Known Customer Complaints: 5
• Can Nitin Bahirwani Be Sued: Yes, in Private Arbitration
• Can Nitin Bahirwani’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $900,000
• Highest Settlement: $300,000

If you have suffered investment losses by Nitin Bahirwani, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Nitin Bahirwani For Broker Misconduct

As of this publication date, Nitin Bahirwani has been the subject of 5 customer disputes. Let’s review them below.

In November 2022, a FINRA arbitration was filed against or in reference to Nitin Bahirwani by a customer of National Securities Corporation alleging breach of fiduciary duty and breach of contract. Per the customer, he/she lost over $900,000 because of Bahirwani’s actions. On September 21, 2023, Bahirwani settled the claim for $300,000, and some or all of this amount may have been paid by Bahirwani’s employer and/or insurance carrier.

In November 2021, a complaint was filed against or in reference to Nitin Bahirwani by a customer of National Securities Corporation alleging unauthorized purchases of Baba & Bidu. Per the customer, he/she lost over $354,130 because of Bahirwani’s actions.

In August 2008, a complaint was filed against or in reference to Nitin Bahirwani by a customer of NSM Securities, Inc. alleging that between November 2007 and June 2008, Bahirwani failed to put stop loss on trades. Per the customer, he/she lost over $25,000 because of Bahirwani’s actions.

In March 2006, a complaint was filed against or in reference to Nitin Bahirwani by a customer of Aura Financial Services, Inc. alleging that Bahirwani explained mark-up or mark-down on securities and alleges that he should have been told this information as well as disclosure of the additional commission for ticket processing charges and fees while a customer of Aura Financial Services, Inc. therefore, the customer requests a return of all mark-ups and mark-downs. Per the customer, he/she lost over $29,350 because of Bahirwani’s actions.

In June 2004, a complaint was filed against or in reference to Nitin Bahirwani by a customer of Aura Financial Services, Inc. alleging unauthorized trading. Per the customer, he/she lost over $21,788 because of Bahirwani’s actions.

How To File A Claim Against Nitin Bahirwani of B. Riley Wealth Management (previously with National Securities Corporation, NSM Securities, Inc., and Aura Financial Services, Inc.) To Get Your Money Back

If you have questions about Nitin Bahirwani, B. Riley Wealth Management, National Securities Corporation, NSM Securities, Inc., Aura Financial Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Darren Daye?

Filed: March 15, 2024

Darren Daye (also known as Darren Irvine Daye, Darren K Daye, Darren Keefe Daye Mr.) has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Darren Keefe Daye.

Who Is Darren Keefe Daye of B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management?

• Advisor Name: Darren Keefe Daye
• Aliases: Darren Irvine Daye, Darren K Daye, Darren Keefe Daye Mr.
• CRD: 3032746
• Location: Las Vegas, Nevada
• Current Employer: B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management
• Previous Firms: National Securities Corporation, Select Planning Group, Inc., and Securian Financial Services, Inc.
• Number of Known Customer Complaints: 2
• Can Darren Daye Be Sued: Yes, in Private Arbitration
• Can Darren Daye’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $130,000
• Highest Settlement: $52,000

If you have suffered investment losses by Darren Daye, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Darren Daye For Broker Misconduct

As of this publication date, Darren Daye has been the subject of 2 customer disputes. Let’s review them below.

In October 2022, a FINRA arbitration was filed against or in reference to Darren Daye by a customer of National Securities Corporation alleging suitability in GWG Holdings L Bonds and preferred stock and GPB Waste Management, LP. Per the customer, he/she lost over $130,000 because of Mr. Daye’s actions. On January 16, 2023, Mr. Daye settled the claim for $52,000, and some or all of this amount may have been paid by Mr. Daye’s employer and/or insurance carrier.

In December 2006, a FINRA arbitration was filed against or in reference to Darren Daye by a customer of Securian Financial Services, Inc. alleging that they were not fully made aware of account value that would transfer from one company to another. Per the customer, he/she lost over $18,000 because of Mr. Daye’s actions.

How To File A Claim Against Darren Daye of B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management (previously with National Securities Corporation, Select Planning Group, Inc., and Securian Financial Services, Inc.) To Get Your Money Back

If you have questions about Darren Daye, B. Riley Wealth Advisors, Inc., B. Riley Wealth Management, National Securities Corporation, Select Planning Group, Inc., Securian Financial Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Rachel Heege-Abode?

Filed: March 11, 2024

Rachel Heege-Abode (also known as Rachel Anne Heege, Rachel Anne Kelly) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Rachel Anne Heege-Abode.

Who Is Rachel Anne Heege-Abode of B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management?

• Advisor Name: Rachel Anne Heege-Abode
• Aliases: Rachel Anne Heege, Rachel Anne Kelly
• CRD: 4834840
• Location: Lake Ronkonkoma, New York
• Current Employer: B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management
• Previous Firms: National Securities Corporation, Asset & Financial Planning, Ltd, and Prime Capital Services, Inc.
• Number of Known Customer Complaints: 1
• Can Rachel Heege-Abode Be Sued: Yes, in Private Arbitration
• Can Rachel Heege-Abode’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $30,000
• Highest Settlement: Unknown

If you have suffered investment losses by Rachel Heege-Abode, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a margin call liquidations. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Rachel Heege-Abode For Broker Misconduct

As of this publication date, Rachel Heege-Abode has been the subject of 1 customer dispute. Let’s review it below.

In March 2023, a FINRA arbitration was filed against or in reference to Rachel Heege-Abode by a customer of National Securities Corporation alleging that Mr. Heege-Abode recommended speculative purchases in illiquid REITs. Per the customer, he/she lost over $30,000 because of Ms. Heege-Abode’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Rachel Heege-Abode of B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management (previously with National Securities Corporation, Asset & Financial Planning, Ltd, and Prime Capital Services, Inc.) To Get Your Money Back

If you have questions about Rachel Heege-Abode, B. Riley Wealth Advisors, Inc., B. Riley Wealth Management, National Securities Corporation, Asset & Financial Planning, Ltd, Prime Capital Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Kerry Hoffman?

Filed: February 21, 2024

Kerry Hoffman currently has one (1) pending customer complaint. Overall, he has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Kerry L Hoffman.

Who Is Kerry L Hoffman of B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management?

• Advisor Name: Kerry L Hoffman
• Aliases: Kerry Hoffman
• CRD: 2224354
• Location: Boca Raton, Florida
• Current Employer: B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management
• Previous Firms: National Securities Corporation and Morgan Stanley
• Number of Known Customer Complaints: 4
• Can Kerry Hoffman Be Sued: Yes, in Private Arbitration
• Can Kerry Hoffman’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $200,000
• Highest Settlement: $40,000

If you have suffered investment losses by Kerry Hoffman, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Kerry Hoffman For Broker Misconduct

As of this publication date, Kerry Hoffman has been the subject of 4 customer disputes. Let’s review them below.

In June 2023, a FINRA arbitration was filed against or in reference to Kerry Hoffman by a customer of National Securities Corporation alleging unsuitable and speculative recommendations. Per the customer, she lost over $200,000 because of Mr. Hoffman’s actions. As of this publication date, this claim remains pending.

In May 2022, a FINRA arbitration was filed against or in reference to Kerry Hoffman by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $5,000 because of Mr. Hoffman’s actions. On April 5, 2023, Mr. Hoffman settled the claim for $40,000, and some or all of this amount may have been paid by Mr. Hoffman’s employer and/or insurance carrier.

In April 2008, a complaint was filed against or in reference to Kerry Hoffman by a customer of Raymond James Financial Services, Inc. alleging unauthorized trading and unsuitable investments.

In October 2000, a complaint was filed against or in reference to Kerry Hoffman by a customer of Prime Charter Ltd. alleging unauthorized trade during January 1999. Per the customer, she lost over $17,024.58 because of Mr. Hoffman’s actions.

How To File A Claim Against Kerry Hoffman of B. Riley Wealth Advisors, Inc. and B. Riley Wealth Management (previously with National Securities Corporation and Morgan Stanley) To Get Your Money Back

If you have questions about Kerry Hoffman, B. Riley Wealth Advisors, Inc., B. Riley Wealth Management, National Securities Corporation, Morgan Stanley, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Viqas Akhtar?

Filed: February 15, 2024

Viqas Akhtar currently has two (2) pending customer complaints. Overall, he has been the subject of nine (9) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Viqas Akhtar.

Who Is Viqas Akhtar of B. Riley Wealth Management?

• Advisor Name: Viqas Akhtar
• Aliases: Viqas Akhtar
• CRD: 5624412
• Location: Miami, Florida
• Current Employer: B. Riley Wealth Management
• Previous Firms: National Securities Corporation, VFinance Investments, Inc., Rockwell Global Capital LLC
• Number of Known Customer Complaints: 9
• Can Viqas Akhtar Be Sued: Yes, in Private Arbitration
• Can Viqas Akhtar’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $192,995
• Highest Settlement: $37,500

If you have suffered investment losses by Viqas Akhtar, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Viqas Akhtar For Broker Misconduct

As of this publication date, Viqas Akhtar has been the subject of 9 customer disputes. Let’s review them below.

In November 2023, a complaint was filed against or in reference to Viqas Akhtar by a customer of B. Riley Wealth Management alleging that Akhtar entered transactions without authorization and traded the client’s account excessively. Per the customer, he/she lost over $192,995 because of Akhtar’s actions. As of this publication date, this claim remains pending.

In July 2023, a FINRA arbitration was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging unsuitable investments and excessive trading. Per the customer, he/she lost over $5,000 because of Akhtar’s actions. As of this publication date, this claim remains pending.

In March 2020, a FINRA arbitration was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $150,000 because of Akhtar’s actions. On August 25, 2021, Akhtar settled the claim for $37,500, and some or all of this amount may have been paid by Akhtar’s employer and/or insurance carrier.

In March 2020, a FINRA arbitration was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $85,000 because of Akhtar’s actions. On October 26, 2021, Akhtar settled the claim for $37,500, and some or all of this amount may have been paid by Akhtar’s employer and/or insurance carrier.

In October 2019, a complaint was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging unauthorized trading. Per the customer, he/she lost over $8,000 because of Akhtar’s actions. On October 16, 2019, Akhtar settled the claim for $9,539, and some or all of this amount may have been paid by Akhtar’s employer and/or insurance carrier.

In July 2015, a complaint was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging failure to follow instructions, misrepresentation, and unauthorized trading. Per the customer, he/she lost over $50,000 because of Akhtar’s actions.

In March 2015, a complaint was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging unauthorized trading and suitability. Per the customer, he/she lost over $60,000 because of Akhtar’s actions.

In October 2013, a complaint was filed against or in reference to Viqas Akhtar by a customer of National Securities Corporation alleging unauthorized trading.

In December 2011, a complaint was filed against or in reference to Viqas Akhtar by a customer of VFinance Investments, Inc. alleging unauthorized trading, suitability, and failure to follow instructions. Per the customer, he/she lost over $7,132 because of Akhtar’s actions.

How To File A Claim Against Viqas Akhtar of B. Riley Wealth Management (previously with National Securities Corporation, VFinance Investments, Inc., Rockwell Global Capital LLC) To Get Your Money Back

If you have questions about Viqas Akhtar, B. Riley Wealth Management, National Securities Corporation, VFinance Investments, Inc., Rockwell Global Capital LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Christopher Russo?

Filed: February 15, 2024

Christopher Russo currently has one (1) pending customer complaint. Overall, he has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Christopher Russo.

Who Is Christopher Russo of B. Riley Wealth Management?

• Advisor Name: Christopher Russo
• Aliases: Christopher Russo
• CRD: 2744913
• Location: Westbury, New York
• Current Employer: B. Riley Wealth Management
• Previous Firms: National Securities Corporation, Gunnallen Financial, Inc., and Continental Broker-Dealer Corp.
• Number of Known Customer Complaints: 4
• Can Christopher Russo Be Sued: Yes, in Private Arbitration
• Can Christopher Russo’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $76,000
• Highest Settlement: $25,000

If you have suffered investment losses by Christopher Russo, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Christopher Russo For Broker Misconduct

As of this publication date, Christopher Russo has been the subject of 4 customer disputes. Let’s review them below.

In July 2023, a FINRA arbitration was filed against or in reference to Christopher Russo by a customer of National Securities Corporation alleging unsuitable recommendations in GWG Holdings, Inc and GPB Capital. Per the customer, he/she lost over $5,000 because of Mr. Russo’s actions. As of this publication date, this claim remains pending.

In May 2020, a FINRA arbitration was filed against or in reference to Christopher Russo by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $50,000 because of Mr. Russo’s actions. On October 25, 2021, Mr. Russo settled the claim for $25,000, and some or all of this amount may have been paid by Mr. Russo’s employer and/or insurance carrier.

In August 2005, a complaint was filed against or in reference to Christopher Russo by a customer of Gunnallen Financial, Inc. alleging poor account performance and losses. Per the customer, he/she lost over $76,000 because of Mr. Russo’s actions.

In September 2003, a complaint was filed against or in reference to Christopher Russo by a customer of Continental Broker-Dealer Corp. alleging unauthorized trading. Per the customer, he/she lost over $5,710 because of Mr. Russo’s actions. On October 16, 2003, Mr. Russo settled the claim for $3,593.54, and some or all of this amount may have been paid by Mr. Russo’s employer and/or insurance carrier.

How To File A Claim Against Christopher Russo of B. Riley Wealth Management (previously with National Securities Corporation, Gunnallen Financial, Inc., and Continental Broker-Dealer Corp.) To Get Your Money Back

If you have questions about Christopher Russo, B. Riley Wealth Management, National Securities Corporation, Gunnallen Financial, Inc., Continental Broker-Dealer Corp., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Roger Follis?

Filed: January 30, 2024

Roger Follis currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Roger Daniel Follis.

Who Is Roger Daniel Follis of B. Riley Wealth Management and B. Riley Wealth Advisors, Inc.?

• Advisor Name: Roger Daniel Follis
• Aliases: Roger Follis
• CRD: 2653439
• Location: Washington, D.C.
• Current Employer: B. Riley Wealth Management and B. Riley Wealth Advisors, Inc.
• Previous Firms: Wells Fargo Advisors Financial Network, LLC
• Number of Known Customer Complaints: 1
• Can Roger Follis Be Sued: Yes, in Private Arbitration
• Can Roger Follis’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $2,600,000
• Highest Settlement: Unknown

If you have suffered investment losses by Roger Follis, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Roger Follis For Broker Misconduct

As of this publication date, Roger Follis has been the subject of 1 customer dispute. Let’s review it below.

In December 2023, a complaint was filed against or in reference to Roger Follis by a customer of B. Riley Wealth Management alleging that Mr. Follis took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan. Per the customer, he/she lost over $2,600,000 because of Mr. Follis’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Roger Follis of B. Riley Wealth Management and B. Riley Wealth Advisors, Inc. (previously with Wells Fargo Advisors Financial Network, LLC) To Get Your Money Back

If you have questions about Roger Follis, B. Riley Wealth Management, B. Riley Wealth Advisors, Inc., Wells Fargo Advisors Financial Network, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Charlie Hartley?

Filed: January 30, 2024

Charles Hartley (also known as Charlie Hartley) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Charles Douglas Hartley.

Who Is Charles Douglas Hartley of B. Riley Wealth Management and B. Riley Wealth Advisors, Inc.?

• Advisor Name: Charles Douglas Hartley
• Aliases: Charlie Hartley
• CRD: 2658276
• Location: Washington, D.C.
• Current Employer: B. Riley Wealth Management and B. Riley Wealth Advisors, Inc.
• Previous Firms: Wells Fargo Advisors Financial Network, LLC
• Number of Known Customer Complaints: 1
• Can Charles Hartley Be Sued: Yes, in Private Arbitration
• Can Charles Hartley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $2,600,000
• Highest Settlement: Unknown

If you have suffered investment losses by Charles Hartley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Charlie Hartley For Broker Misconduct

As of this publication date, Charles Hartley has been the subject of 1 customer dispute. Let’s review it below.

In December 2023, a complaint was filed against or in reference to Charles Hartley by a customer of B. Riley Wealth Management alleging that Mr. Hartley took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan. Per the customer, he/she lost over $2,600,000 because of Mr. Hartley’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Charlie Hartley of B. Riley Wealth Management and B. Riley Wealth Advisors, Inc. (previously with Wells Fargo Advisors Financial Network, LLC) To Get Your Money Back

If you have questions about Charles Hartley, B. Riley Wealth Management, B. Riley Wealth Advisors, Inc., Wells Fargo Advisors Financial Network, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Shaun Stein?

Filed: January 30, 2024

Shaun Stein currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Shaun Evan Stein.

Who Is Shaun Evan Stein of B. Riley Wealth Management?

• Advisor Name: Shaun Evan Stein
• Aliases: Shaun Stein
• CRD: 4873578
• Location: Jersey City, New Jersey
• Current Employer: B. Riley Wealth Management
• Previous Firms: National Securities Corporation, Meyers Associates, L.P., and Alexander Capital, L.P.
• Number of Known Customer Complaints: 3
• Can Shaun Stein Be Sued: Yes, in Private Arbitration
• Can Shaun Stein’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $750,000
• Highest Settlement: $25,000

If you have suffered investment losses by Shaun Stein, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Shaun Stein For Broker Misconduct

As of this publication date, Shaun Stein has been the subject of 3 customer disputes. Let’s review them below.

In December 2023, a FINRA arbitration was filed against or in reference to Shaun Stein by a customer of National Securities Corporation alleging excessive trading losses. Per the customer, he/she lost over $722,528 because of Mr. Stein’s actions. As of this publication date, this claim remains pending.

In May 2020, a FINRA arbitration was filed against or in reference to Shaun Stein by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $750,000 because of Mr. Stein’s actions. On October 5, 2021, Mr. Stein settled the claim for $20,000, and some or all of this amount may have been paid by Mr. Stein’s employer and/or insurance carrier.

In March 2020, a FINRA arbitration was filed against or in reference to Shaun Stein by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $100,000 because of Mr. Stein’s actions. On August 27, 2021, Mr. Stein settled the claim for $25,000, and some or all of this amount may have been paid by Mr. Stein’s employer and/or insurance carrier.

How To File A Claim Against Shaun Stein of B. Riley Wealth Management (previously with National Securities Corporation, Meyers Associates, L.P., and Alexander Capital, L.P.) To Get Your Money Back

If you have questions about Shaun Stein, B. Riley Wealth Management, National Securities Corporation, Meyers Associates, L.P., Alexander Capital, L.P., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.