Investors might have sustained losses due to securities broker Sean Patrick Hurley [CRD: 6808402, Chicago, Illinois], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hurley worked for National Securities Corporation from October 24, 2017, to July 22, 2022, and has been registered with B. Riley Wealth Management since July 22, 2022. See the following information to learn more about disclosures involving this securities broker.
Evidently, on September 30, 2025, a National Securities Corporation client filed FINRA Arbitration No. 25-02007 about Sean Hurley. Primarily, the client alleged that Hurley made unsuitable recommendations. Because of this, the client allegedly suffered damages on stocks. Consequently, the client requested $250,000 in compensation from National Securities Corporation or Hurley. BrokerCheck indicates that this arbitration is ongoing.
Unsuitable stock advice generally refers to investment recommendations that do not align with a client’s financial profile or investment goals. Securities brokers are expected to evaluate a client’s risk tolerance, age, income, liquidity needs, and investment experience before recommending stocks or other investments. Unsuitable recommendations can involve speculative, overly aggressive, concentrated, or high-risk investments that expose clients to losses they may not have been prepared to accept. In some cases, investors allege that brokers recommended frequent trading or risky stocks without properly explaining the potential downside risks.
Did you suffer any investment-related losses because of Sean Hurley? You should contact Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the United States. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Hurley and brokerage firms Hurley worked for deny accusations of sales practice violations.
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