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 |
|---|---|---|---|---|---|---|---|---|
| Robert Carleton Dean | 2270920 | 2 | 09/27/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Slater Carberry | 2717703 | 1 | 08/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Knut L. Grevle | 4152295 | 1 | 08/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terril Scott Peterson | 2905647 | 2 | 12/29/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Christopher Rolla | 2515481 | 2 | 05/14/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Ratner | 1286523 | 2 | 03/24/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryant Richard Riley | 1702453 | 1 | 09/02/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Ratner | 1286523 | 2 | 01/26/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |