Jeffrey Fishman: B. Riley Advisor Faced $100K Complaint

A recent, denied investor complaint against Tampa, Florida financial advisor Jeffrey Fishman (CRD# 1021795) alleged that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation and Winslow Evans & Crocker.

Mr. Fishman’s BrokerCheck report discloses one investor complaint. Filed in March 2025, it alleged that as a representative of B. Riley Wealth Management, he recommended an unsuitable investment in private shares that sustained a loss of 98.99 percent. The complaint alleged damages of $100,000 and was denied by the firm.

In a statement included with the complaint’s disclosure, Mr. Fishman defended himself against the allegations. “The client was completely suitable for this investment,” he wrote, “given his vast knowledge of real estate, commodities, and other strategies.”

According to the Financial Industry Regulatory Authority, Jeffrey Fishman holds 43 years of securities industry experience. Based in Tampa, Florida, he has been registered as a broker with B. Riley Wealth Management since 2022. His registration history includes National Securities Corporation (2021-2022), Winslow Evans & Crocker (2018-2021), Morgan Stanley (2009-2018), Citigroup Global Markets (2008-2009), Fahnestock & Company (2003), CIBC World Markets (1984-2003), Oppenheimer & Company (1988-1995), and LF Rothschild Unterberg Towbin (1981-1984). His credentials include the passage of six securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the Foreign Currency Options Examination, or Series 15; the General Securities Representative Examination, or Series 7; the Interest Rate Options Examination, or Series 5; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California, Connecticut, Florida, Georgia, Indiana, Maryland, Michigan, New Jersey, North Carolina, Pennsylvania, the Virgin Islands, and Washington. (Information current as of April 12, 2025.)

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