Mark Grant, B. Riley Broker, Tied To Client Arbitration Claim Re: Unsuitable Advice

Mark Jeffrey Grant (CRD: 227528), a securities broker in New York, New York, has faced investor claims concerning his recommendations, according to disclosures in the Financial Industry Regulatory Authority (FINRA) BrokerCheck database. Grant has worked for A.G.P. / Alliance Global Partners since November 12, 2025. He previously worked for Colliers Securities LLC from April 1, 2022, to November 14, 2025; B. Riley Securities Inc. from January 6, 2018, to April 13, 2022; and B. Riley Wealth Management from January 4, 2018, to April 13, 2022. Here is a closer look at the investor disputes about him.

B. Riley Wealth Management Client Alleges Mark Grant Made Unsuitable Recommendations

On July 7, 2026, a B. Riley Wealth Management client filed a FINRA arbitration claim involving Mark Grant (No. 26-01412). The client alleges that Grant made unsuitable recommendations involving direct investments. The client claims those recommendations resulted in $653,000 in damages related to the direct investments. For this reason, the client is seeking $653,000 in compensation from B. Riley Wealth Management or Grant. As of September 2026, the arbitration was still pending.

Florida Jury Found Mark Grant Negligent

An investor alleged that Grant improperly recommended she obtain a cash-out mortgage on her primary residence and invest the proceeds to generate cash flow. She also alleged that he recommended unsuitable investments and misrepresented their risks. Grant says she never held an account with him or his then-employer, Southwest Securities Inc.

On November 4, 2016, a jury dismissed some of her claims under the Florida Securities Act. For the negligence claims, the jury assigned 40% fault to Grant, awarding her $46,400 in damages.

Seeking Help With Investment Losses Involving Mark Grant?

Investors who believe they lost money because of Mark Grant can contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney about potentially recovering their investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Grant and the brokerage firms he worked for deny allegations of sales practice violations.