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 Perry Clementi | 2265760 | 3 | 01/31/2008 | Customer Dispute | Closed-No Action | $5,001.00 | $0.00 | See FINRA Report |
| Darren Keefe Daye | 3032746 | 2 | 12/07/2006 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 03/07/2005 | Customer Dispute | Closed-No Action | $49,875.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 01/24/2002 | Customer Dispute | Closed-No Action | $17,454.00 | $0.00 | See FINRA Report |
| Matthew Bruce Schechner | 2383117 | 2 | 10/05/2000 | Customer Dispute | Closed-No Action | $17,024.60 | $0.00 | See FINRA Report |
| Kerry L Hoffman | 2224354 | 4 | 10/05/2000 | Customer Dispute | Closed-No Action | $17,024.60 | $0.00 | See FINRA Report |
| James David Rollerson | 2289252 | 4 | 06/30/2000 | Customer Dispute | Closed-No Action | $27,500.00 | $0.00 | See FINRA Report |
| Allison Barbara Clago | 1193764 | 3 | 01/10/2000 | Customer Dispute | Closed-No Action | $5,926.00 | $0.00 | See FINRA Report |