Our Staff has compiled our research into a database of FINRA Broker Disclosures for B. Riley Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Barry Matthews | 6087471 | 1 | 04/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest John Dahlman | 2166217 | 1 | 12/16/2020 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Thomas William Mills | 5475930 | 1 | 03/20/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel H. Corniel | 5989327 | 2 | 10/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel H. Corniel | 5989327 | 2 | 03/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Jonathan Merriman | 1303501 | 5 | 12/08/2017 | Customer Dispute | Pending | $60,000.00 | $0.00 | See FINRA Report |
| Andrew Thomas Moore | 4574997 | 1 | 01/09/2017 | Customer Dispute | Settled | $101,408.00 | $0.00 | See FINRA Report |
| Jason Scott Petchenick | 4270921 | 3 | 08/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Scott Petchenick | 4270921 | 3 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Scott Petchenick | 4270921 | 3 | 08/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |