Articles Tagged with B. Riley Wealth Management

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), previously associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cunningham  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $18,469.04 on December 16, 2025.

Customer alleges unauthorized transfer of account, unauthorized purchases and sales of assets, and churning.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Taylor (Taylor), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Taylor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $127,572.71 on April 05, 2021.

Alleges unsuitable investment recommendations in violation of FINRA Rules 2111 and 2090 and failure to supervise under FINRA Rule 3110 for transactions that took place in 2016 to mid-2017.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mullen (Mullen), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Mullen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $781,536.00 on December 05, 2024.

Claimant alleges Mr. Mullen, who was not Claimant's broker, profited from the sale of securities where alleged affiliate relationships were undisclosed. Claimant did not allege a time period.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Francis Cunningham (Cunningham), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cunningham  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $18,469.04 on October 31, 2025.

Customer alleges unauthorized transfer of account, unauthorized purchases and sales of assets, and churning.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Hurley (Hurley), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Hurley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on September 30, 2025.

Client alleges RRs made unsuitable recommendations in Movano, Inc. (MOVE) & iShares Russian ETF (ERUS)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hackett (Hackett), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Hackett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on September 30, 2025.

Client alleges RRs made unsuitable recommendations in Movano, Inc. (MOVE) and iShares Russian ETF (ERUS)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lefkowitz (Lefkowitz), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Lefkowitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on September 27, 2025.

Client alleges excessive commissions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Baroutas (Baroutas), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Baroutas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on July 27, 2022.

Claimant alleges Rep exchanged a portfolio of blue chip stocks without her knowledge for the following investments: IN8Bio; Eloxx Pharmaceutical; Journey Medical, Runway Growth; Landsea Homes; Cadiz; Doubledown Interactive; LifeMD; and Minim

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nitin Bahirwani (Bahirwani), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Bahirwani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $900,000.00 on November 07, 2022.

Breach of fiduciary duty, breach of contract

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Viqas Akhtar (Akhtar), currently associated with B. Riley Wealth Management, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Akhtar  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 01, 2023.

Alleges unsuitable investments and excessive trading.

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#1
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