Timothy Breslin Fired from Raymond James & Associates

Timothy Breslin (CRD #: 2981153), a broker registered with B. Riley Wealth Management, was fired from his previous firm, according to his BrokerCheck record, accessed on October 24, 2022. Investors may have also worked with him through B. Riley Wealth Advisors. Read on if you want to know more about his conduct as a broker.

Termination from Raymond James & Associates

On September 19, 2022, Timothy Breslin was fired from Raymond James & Associates after he allegedly initiated “unfunded” ACH transfers from an unaffiliated financial institution to a personal account at the firm, and allegedly lacked candor when asked about the cause.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Investor Dispute

On March 5, 2021, an investor alleged that Timothy Breslin failed to follow instructions regarding an investment on the date of filing. The client sought $55,000 in damages but was denied by the firm.

However, investors should know that firms can deny disputes without an outside review. Investors can still seek out FINRA arbitration after a denial and may be able to recover their losses.

Background Information

Timothy Breslin has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Timothy Breslin is a registered broker in ten states and a registered investment adviser in Pennsylvania and Texas.

He has also worked for the following firms:

• B Riley Wealth Management (CRD#:2543)
• Raymond James & Associates (CRD#:705)
• Ameriprise Financial Services (CRD#:6363)
• Ameriprise Advisor Services (CRD#:5979)
• Janney Montgomery Scott (CRD#:463)
• New England Securities (CRD#:615)

Kurta Law Can Help

If you worked with Timothy Breslin and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.