Former B. Riley Wealth Advisors, Inc. broker Charles Hartley (CRD# 2658276) is accused of stock losses. He was with A.G.P. / Alliance Global Partners in Washington, DC, since February 2024. Previously, he was registered with B. Riley Wealth Advisors, Inc. in Washington, DC, from 2022 to 2024, and with Wells Fargo Advisors Financial Network, LLC in Washington, DC, from 2013 to 2020.
In February 2024, he was terminated from B. Riley Wealth Management related to, ”Failure to communicate with clients in a firm-approved manner, failed to maintain books and records for a period of time, failure to timely report a customer complaint, submitted incorrect information in compliance questionnaires.”
Charles Hartley Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
December 2023. “Alleges Registered Representative took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan.” The customer is seeking $2,600,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stocks.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, B. Riley Wealth Advisors, Inc. may be liable for investment or other losses suffered by Charles Hartley’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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