Mac McIntyre: $250K Complaint Against B. Riley Advisor

Oakbrook Terrace, Illinois financial advisor Mac McIntyre (CRD# 2839149) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with B. Riley Wealth.

Mr. McIntyre’s BrokerCheck report discloses one investor complaint. Filed in February 2026, it alleges that as a representative of National Securities Corporation, he recommended unsuitable investments that were inconsistent with the customer’s objectives and risk tolerance. The pending complaint alleges damages of $250,000.

An unsuitable investment, as described by FINRA Rule 2111, is an investment or strategy which a broker lacks a reasonable basis to believe is appropriate for their customer’s investment profile. An investor’s profile “includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance,” and other information. FINRA-associated brokers are required by Rule 2111 to conduct reasonable diligence to determine a customer’s profile; then, they must use this information to arrive at a determination as to whether an investment or strategy is not only suitable for some customers, but for that specific customer. Brokers who sell unsuitable investments, or who misrepresent information regarding an investment’s suitability, may be liable to their clients if those investments experience losses.

According to the Financial Industry Regulatory Authority, Mac McIntyre holds 28 years of securities industry experience. Based in Oakbrook Terrace, Illinois, he has been registered as a broker and an investment advisor with B. Riley Wealth since 2017 and 2022, respectively. His past registrations include National Securities Corporation, US Bancorp Investments, Fifth Third Securities, and PFS Investments. His credentials include the passage of six securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; and the Investment Company Products/Variable Contracts Principal Examination, or Series 26. He holds 30 state licenses. (Information current as of April 5, 2026.)

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