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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Joseph Neubauer | 6195836 | 1 | 03/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Brian Rajewski | 4329157 | 1 | 10/28/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dawn Marie Farrell | 4139223 | 1 | 09/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick McGlynn | 2981934 | 1 | 08/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Edward Ruffner | 4505458 | 1 | 02/15/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Clayton Bryan | 5226249 | 1 | 01/31/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |