Timothy James Breslin of Bryn Mawr, Pennsylvania, a stockbroker registered with Raymond James Associates and B. Riley Wealth Management, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Breslin provided false or misleading information to FINRA during the time that it investigated possible violations of FINRA rules….
Mark Alan Cline of Wildwood, Florida, a stockbroker registered with National Securities Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $20,000.00 in damages based upon allegations that Cline made unsuitable recommendations of real estate securities when Cline was associated with National Securities Corporation. Financial Industry…
William John Braun (also known as Bill Braun), of Boca Raton, Florida, a stockbroker registered with National Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Braun made unsuitable investment recommendations of private placements during the time…
James Baroutas of New York, New York, a stockbroker registered with B. Riley Wealth Management, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $300,000.00 in damages based upon allegations that Baroutas engaged in unauthorized trading and other misconduct in connection with…
Jack B. McBride of Plymouth Michigan a stockbroker currently registered with B Riley Wealth Management is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $380,000.00 in damages based upon accusations that the stockbroker provided unsuitable investment advice to the B Riley customer concerning exchange traded funds, stocks and…
Murray Bee Roark (also known as Pap Roark) of Dallas Texas a stockbroker currently employed by B. Riley Wealth Management (formerly known as Wunderlich Securities) has been identified in a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages founded on accusations that (1) the customer was inappropriately advised to purchase…