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 |
|---|---|---|---|---|---|---|---|---|
| James Brian Raby | 2043246 | 3 | 11/30/2011 | Customer Dispute | Closed-No Action | $450,000.00 | $0.00 | See FINRA Report |
| Mark Joseph Bruscianelli | 4177839 | 10 | 11/16/2011 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| David Murlin Luedecker | 1971135 | 1 | 10/13/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Bruscianelli | 4177839 | 10 | 04/13/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Cynthia Lee Parris | 1047540 | 5 | 09/22/2010 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| Daniel A Claps | 1841040 | 1 | 06/23/2009 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 01/23/2009 | Customer Dispute | Closed-No Action | $7,655.00 | $0.00 | See FINRA Report |
| William Ogden Plyler | 4230225 | 1 | 12/30/2008 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Kelly Graham | 1767353 | 1 | 08/07/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 02/19/2008 | Customer Dispute | Closed-No Action | $18,357.00 | $0.00 | See FINRA Report |