Securities Lawyers Blog
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