Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryant Riley (Riley), currently associated with B. Riley Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Riley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 20, 2024.
The complaint alleges various causes of action arising from the sale of securities interests in the franchise group go-private transaction and seeks unspecified damages.
