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 that Braun was associated with National Securities Corporation. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02298 (October 7, 2022).
FINRA Public Disclosure shows that Braun has been referenced in nine other customer initiated investment related disputes concerning Braun’s conduct while associated with securities broker dealers, including National Securities Corporation.
On July 26, 2021, a FINRA securities arbitration claim involving Braun’s conduct was settled for $18,500.00 in damages based upon allegations that Braun made unsuitable recommendations, was negligent, and breached his fiduciary duties in connection with the sale of private placements. FINRA Arbitration No. 19-03195.
Braun was also referenced in a FINRA securities arbitration claim that was settled for $26,000.00 in damages based upon allegations that Braun made unsuitable recommendations, was negligent, and breached his fiduciary duties in connection with the sale of private placements. FINRA Arbitration No. 20-00323 (July 26, 2021).
On July 26, 2021, a different FINRA securities arbitration claim involving Braun’s conduct was settled for $22,000.00 in damages based upon allegations that Braun breached his fiduciary duties, was negligent, and made unsuitable recommendations of private placements. FINRA Arbitration No. 19-03324.
Braun was also referenced in a FINRA securities arbitration claim that was settled for $50,000.00 in damages based upon allegations that Braun made unsuitable recommendations of private placements. FINRA Arbitration No. 19-03488 (July 26, 2021).
On April 21, 2022, another complaint involving Braun’s conduct was settled for $2,500.00 in damages based upon allegations that Braun made unsuitable recommendations of private placements.
Braun was associated with National Securities Corporation in Boca Raton, FL, as a stockbroker from May of 2007 to July of 2022.
Braun has been associated with B. Riley Wealth Advisors Inc. in Boca Raton, Florida, as an investment advisor representative since January 19, 2017, and associated with B. Riley Wealth Management in Boca Raton, Florida, as a stockbroker since June 23, 2022.
