Ernest Dahlman (CRD #: 2166217), a broker registered with B. Riley Securities, is facing investor allegations of fraud, according to his BrokerCheck record, accessed on January 26, 2021.
On December 16, 2020, an investor alleged that Ernest Dahlman engaged in fraud as well as fraudulent concealment. The investor further alleged that Dahlman was negligent and violated Penal Code 496. California Penal Code 496 addresses receiving stolen goods. The client is seeking $500,000; the dispute is pending.
Ernest Dahlman has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 79 Investment Banking Registered Representative Examination, the Series 55 Limited Representative-Equity Trader Exam, the Series 7 General Securities Representative Examination, Series 4 Registered Options Principal Examination, and the Series 24 General Securities Principal Examination. He is a registered broker in California and Georgia.
During his 22 years of experience, Ernest Dahlman has worked at the following firms:
- Broad Street Capital Markets (CRD #: 104026)
- Kinsell, Newcomb & De Dios (CRD #: 16427)
- Carlin Equities (CRD #: 31295)
- Dahlman Rose & Company (CRD #: 23510)
- Puglisi & Co (CRD #: 19451)
- Fleet Securities (CRD #: 13071)
- Nash, Weiss & Co (CRD #: 42967)
- Nash Weiss & Co (CRD #: 6470)
- Crawford & Associates, Ltd. (CRD #: 7590)
If Ernest Dahlman was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.