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 Xavier Reilly | 2210571 | 1 | 07/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Bonnema | 2229865 | 1 | 06/24/2014 | Regulatory | Final | $0.00 | $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 |
| Timothy Michael Lynch | 2063011 | 2 | 05/31/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Joseph Neubauer | 6195836 | 1 | 03/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Lynch | 2063011 | 2 | 10/26/2010 | Judgment / Lien | $0.00 | $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 | 11/10/2009 | Regulatory | Final | $0.00 | $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 |
| Robert Carleton Dean | 2270920 | 2 | 09/27/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |