Brian Christopher Rieman of Parsippany New Jersey a stockbroker associated with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $19,000.00 in damages supported by allegations that Rieman’s investment recommendations failed to be suitable for the customer during the period in which the stockbroker was employed by Hennion Walsh. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02623 (Feb. 25, 2020).
FINRA Public Disclosure reveals that Rieman has been referenced in four more customer initiated investment related disputes concerning accusations of his improprieties when the stockbroker was associated with Hennion Walsh. On November 29, 2016, a customer initiated investment related complaint in reference to Rieman’s conduct was resolved for $44,055.49 in damages based upon accusations that misrepresentations were made to the customer in regard to corporate bond transactions and that the customer sustained unwarranted losses because of the stockbroker’s actions at Hennion Walsh.
On February 5, 2018, a customer filed an investment related arbitration claim involving Rieman’s conduct in which the customer requested $230,000.00 in damages based upon allegations that the Hennion Walsh customer was poorly advised by Rieman in regard to municipal debt trades that the stockbroker effected in the customer’s account. FINRA Arbitration No. 18-00297. Rieman is also referenced in a customer initiated investment related complaint on June 26, 2018 where the customer sought unspecified damages founded on accusations that the Hennion Walsh customer was provided with bad advice by Rieman regarding her investments in municipal bonds, corporate bonds and mutual funds.
Rieman is also referenced in a customer initiated investment related arbitration claim which was settled for $14,999.00 in damages supported by allegations that Rieman’s investment recommendations failed to be suitable as it pertained to municipal and corporate bonds purchased by the customer during the period in which Rieman was employed by Hennion Walsh. FINRA Arbitration No. 18-02357 (Aug. 23, 2019).
Rieman has been registered with Hennion Walsh since August 14, 2001.
