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 Anthony Mullen | 1428116 | 2 | 01/18/1996 | Customer Dispute | Award / Judgment | $248,000.00 | $280,582.00 | See FINRA Report |
| Yitzchok Asher Goodman | 1052215 | 6 | 07/25/1995 | Customer Dispute | Award / Judgment | $5,000.00 | $5,000.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 10/21/1993 | Customer Dispute | Award / Judgment | $24,066.00 | $40,905.00 | See FINRA Report |
| Mark Edward Lefevre | 859944 | 2 | 04/14/1989 | Customer Dispute | Award / Judgment | $0.00 | $9,800.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 01/01/1988 | Customer Dispute | Award / Judgment | $820.00 | $820.00 | See FINRA Report |
| Carlton Creig Okamoto | 351663 | 1 | 01/01/1985 | Customer Dispute | Award / Judgment | $17,000.00 | $1,500.00 | See FINRA Report |