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Investment Bank
FINANCIAL | Securities Brokers & Traders
wunderlichsecurities.com

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Founded Year

1996

Stage

Acquired | Acquired

Total Raised

$40M

About Wunderlich Securities

Wunderlich Securities, a full-service brokerage firm, is committed to providing a comprehensive range of professional products and services to meet the needs of individual investors as well as corporations and institutions. The Firm offers financial advisory, brokerage, equity research, and investment banking services. Fixed Income broker services are provided through Wunderlich Securities Fixed Income Capital Markets and WunTrade divisions of Wunderlich Securities. The firm operates in 29 offices across 16 states and has more than 450 associated professionals.

Wunderlich Securities Headquarter Location

6000 Poplar Avenue Suite 150

Memphis, Tennessee, 38119,

United States

901-251-1330

Latest Wunderlich Securities News

Finra panel awards $10.5 million to New York firm and its CEO

Apr 9, 2020

Finra panel awards $10.5 million to New York firm and its CEO Wunderlich Securities to pay Dominick & Dickerman over 2015 deal April 9, 2020 A Finra arbitration panel has ordered Memphis, Tenn.-based Wunderlich Securities to pay compensatory damages of $7 million and $2.8 million in interest to New York-based investment firm Dominick & Dickerman. In the arbitration, attorneys for Dominick & Dickerman argued that Wunderlich committed common law fraud and negligent misrepresentation, violating the Financial Industry Regulatory Authority Inc.’s Rule 2010, which deals with fraud or deceit in connection with the purchase or sale of a security. Wunderlich acquired the wealth management business of Dominick & Dominick in 2015, after which the firm reverted to the name used at its founding in 1899. “It’s rare for the Finra rule to be invoked when one firm acquires another, but it reflects the true nastiness of this catfight,” said an attorney not associated with the case who spoke on background. When asked for details on the arbitration, James Henseler of Hughes Hubbard & Reed, attorneys for Dominick & Dickerman, declined to comment. The arbitration panel also awarded $500,000, plus interest of $201,756, to Michael John Campbell, CEO of Dominick & Dickerman. In addition, Wunderlich was required to pay Dominick & Dickerman $65,020 in costs and $818,778 in attorneys’ fees, as well as $2,500 to reimburse Dominick & Dickerman for nonrefundable filing fees. In 2017, B. Riley Financial, a publicly traded investment bank in Woodland Hills, Calif., bought Wunderlich Securities for about $72 million in stock and cash. B. Riley also owns FBR & Co., the parent of Friedman Billings & Ramsey, a mid-market investment bank. What do you think?

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The CB Insights tech market intelligence platform analyzes millions of data points on venture capital, startups, patents , partnerships and news mentions to help you see tomorrow's opportunities, today.

Expert Collections containing Wunderlich Securities

Expert Collections are analyst-curated lists that highlight the companies you need to know in the most important technology spaces.

Wunderlich Securities is included in 2 Expert Collections, including Capital Markets Tech.

C

Capital Markets Tech

802 items

Companies in the capital markets tech space are providing software and/or services for investment banks, hedge funds, investment managers, and so forth. Companies included use technology across the front, middle, and back-offices and streamline all pre- and post-trade operations.

F

Fintech

7,256 items

US-based companies

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