Last Updated: September 2023 (Atlanta, GA)
Ernest Dahlman, III, Investigation Summary
Here’s what you need to know about Atlanta, GA, stockbroker Ernest Dahlman, III:
- Name: Mr. Ernest John Dahlman, III
- Current Employer: B. Riley Securities Inc.
- Previous Firms: Broad Street Capital Markets, Kinsell Newcomb & De Dios, Dahlman Rose & Co.
- Function: Stock Broker/ Financial Advisor
- Aliases: Ernest Dahlman, III
- Primary Location: Tifton, GA
- CRD 2166217
- Can Ernest Dahlman, III be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $500,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ernest Dahlman, III, As Your Stockbroker?
According to his CRD Ernest Dahlman, III, is currently being sued in a case pending in San Diego County, Superior Court of the State of California, for $500,000. The plaintiff in that case alleges that Dahlman, while employed by Pacific Imperial Railroad, committed fraud, negligence, breach of fiduciary duty and violated California Penal Code 496 in connection with private placements.
Allegations of Broker Misconduct Against Ernest Dahlman, III
A customer of Ernest Dahlman, III has alleged the following wrongdoing in connection with the handling of customer accounts:
- Breach of fiduciary duty
- Fraudulent misrepresentation in connection with sale of private placements
- Violation of California Penal Code 496
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Ernest Dahlman, III, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
