March 2019 – Parsippany, NJ
According to publicly available records Brian Christopher Rieman (CRD# 4427713) , a registered stockbroker currently employed by Hennion & Walsh, Inc., disclose a 4 pending and one prior customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the prior matter , a Hennion & Walsh, Inc., customer alleged poor performance and misrepresentation. The case was settled for $44,055 in 11 2016.
The currently pending matters include:
In July 2018, a Hennion & Walsh, Inc., customer filed FINRA case 18-02623 alleging unsuitable investments beginning in 2009. The alleged damages are $52,530.
In June of 2018, Hennion & Walsh, Inc., customer filed FINRA case #18-02357 alleging unsuitable recommendations. Damages are unspecified.
In June of 2018 another Hennion & Walsh, Inc., customer filed a dispute alleging unsuitable recommendations. This case is also still pending.
In February of 2018, a Hennion & Walsh, Inc. customer filed FINRA case #18-00297 alleging unsuitable product recommendations and is seeking damages of $230,000.
Rieman has been employed by Hennion & Walsh, Inc., since June 2001.
If you have losses in an account handled by Brian Reiman, contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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