Investors have come forward with complaints about securities broker William John Braun (also known as Bill Braun) (CRD: 1271500, Boca Raton, Florida). Evidently, the securities broker, who worked for National Securities Corporation, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, National Securities Corporation clients allege that Braun gave unsuitable advice. For more on these disclosures about Braun, see below.
National Securities Corporation Investor Accuses Braun Of Unsuitable Recommendations
Supposedly, on November 7, 2022, a National Securities Corporation client filed FINRA Arbitration: 22-02298 about William Braun. Namely, the client alleged that Braun made unsuitable recommendations. Because of this, the client allegedly sustained damages on private placements. Therefore, the client requested $200,000 in compensation from National Securities Corporation or Braun. Evidently, this arbitration is pending a resolution.
William Braun Discloses Unsuitable Advice Allegations By National Securities Corporation Client
Also, a client of National Securities Corporation contested William Braun’s sales practices, according to a complaint. Allegedly, Braun gave unsuitable advice. Supposedly, Braun caused the client to sustain damages on private placements. Therefore, National Securities Corporation opted to settle the matter on April 21, 2022, by compensating the client.
National Securities Corporation Investor Accuses Braun Of Negligence
Specifically, a National Securities Corporation client filed FINRA Arbitration: 19-03195 about William Braun. Namely, the client alleged that Braun was negligent, made unsuitable recommendations, and breached a fiduciary duty. Because of this, the client allegedly sustained damages on private placements. Therefore, on July 26, 2021, National Securities Corporation settled this matter by paying the client $18,500 in damages.
William Braun Discloses Breach Of Fiduciary Duty Allegations By National Securities Corporation Client
Also, a client of National Securities Corporation contested William Braun’s sales practices by filing FINRA Arbitration: 19-03324. Allegedly, Braun breached a fiduciary duty, was negligent, and gave unsuitable advice. It appears that Braun caused the client to sustain damages on private placements. Therefore, National Securities Corporation opted to settle the matter on July 26, 2021, by compensating the client in the amount of $22,000.
National Securities Corporation Investor Accuses Braun Of Negligence
Particularly, a National Securities Corporation client filed FINRA Arbitration: 20-00323 about William Braun. Namely, the client alleged that Braun was negligent, made unsuitable recommendations, and breached a fiduciary duty. Because of this, the client allegedly sustained damages on private placements. Therefore, on July 26, 2021, National Securities Corporation settled this matter by paying the client $26,000 in damages.
- Braun has worked for B. Riley Wealth Advisors Inc. in Boca Raton, Florida, as a financial advisor since January 19, 2017.
- Braun has worked for B. Riley Wealth Management in Boca Raton, Florida, as a securities broker since June 23, 2022.
- Braun worked for National Asset Management Inc. in Boca Raton, Florida, as a financial advisor from June 13, 2007, to October 26, 2009.
- Braun worked for National Securities Corporation in Boca Raton, Florida, as a securities broker from May 8, 2007, to July 23, 2022.
Did National Securities Corporation Securities Broker William Braun Cause You To Experience Damages?
Suffer damages because of William Braun? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in all 50 states, represents investors on a contingency fee basis and advances costs. Braun and brokerage firms Braun worked for deny any and all allegations against them.
