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 |
|---|---|---|---|---|---|---|---|---|
| Michael Markunas | 1832307 | 5 | 09/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Ratner | 1286523 | 2 | 03/24/2000 | Regulatory | Final | $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 |
| Eric Brian Rajewski | 4329157 | 1 | 10/28/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 07/12/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 01/21/1999 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Bryant Richard Riley | 1702453 | 1 | 09/02/1998 | Regulatory | Final | $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 |