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 |