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 |
|---|---|---|---|---|---|---|---|---|
| Ernest John Dahlman | 2166217 | 1 | 12/16/2020 | Customer Dispute | Pending | $500,000.00 | $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 |
| David Jonathan Merriman | 1303501 | 5 | 09/02/2011 | Customer Dispute | Settled | $7,200,000.00 | $0.00 | See FINRA Report |
| David Jonathan Merriman | 1303501 | 5 | 10/15/2010 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| David Jonathan Merriman | 1303501 | 5 | 01/21/2009 | Customer Dispute | Settled | $2,700,000.00 | $0.00 | See FINRA Report |
| Joel Christopher Rolla | 2515481 | 2 | 11/25/2002 | Customer Dispute | Settled | $74,471.00 | $0.00 | See FINRA Report |
| Michael Edward Guzman | 3207552 | 1 | 10/15/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 09/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 01/21/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |