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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Patrick McGlynn | 2981934 | 1 | 08/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Clayton Bryan | 5226249 | 1 | 01/31/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Ratner | 1286523 | 2 | 01/26/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |