National investment loss lawyers KlaymanToskes is investigating broker William Braun a/k/a Bill Braun (CRD# 1271500) formerly of National Securities Corporation (now known as B.Riley Wealth), following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”) (Claim No. 25-01240), alleging investor damages of $150,000 due to unsuitable recommendations to invest in GWG L Bonds.
According to FINRA BrokerCheck, broker William Braun was previously registered with National Securities Corporation (now known as B. Riley Wealth Management) from May 2007 to October 2024 in Boca Raton, FL. Braun is currently registered as a broker and investment advisor with Kestra Investment Services and Kestra Advisory Services.
Investors that suffered losses with broker William Braun are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The article linked below contains important information relating to the complaint against broker William Braun:
If you suffered losses with broker William Braun, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million (exclusive of attorneys fees and costs) for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker William Braun. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA and the SEC, investment firms such as National Securities Corporation and B.Riley Wealth Management are responsible for the supervision of all of the activities of their registered brokers/investment advisors. Investors may be entitled to a financial recovery if their firm failed to supervise the representative managing their account, and/or if their financial advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker William Braun, or have concerns regarding your investment portfolio at National Securities Corporation (now known as B.Riley) and/or Kestra Investment Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss your recovery options.