Our Staff has compiled our research into a database of FINRA Broker Disclosures for B. Riley Wealth Management. 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 Patrick Campbell | 2317807 | 8 | 11/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William John Braun | 1271500 | 11 | 11/07/2022 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Nitin Gobindram Bahirwani | 4748899 | 5 | 11/07/2022 | Customer Dispute | Pending | $900,000.00 | $0.00 | See FINRA Report |
| Darren Keefe Daye | 3032746 | 2 | 10/26/2022 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Timothy James Breslin | 2981153 | 3 | 09/19/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dominick Anthony Ciocia | 1751317 | 3 | 09/06/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| James Baroutas | 1252613 | 4 | 07/27/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| John Thomas Holly | 1713313 | 5 | 07/18/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Martin William Padilla | 2442136 | 10 | 05/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kerry L Hoffman | 2224354 | 3 | 05/04/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |