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 |
|---|---|---|---|---|---|---|---|---|
| Mick Dadlani | 2724655 | 3 | 07/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Edward Larkin | 4386245 | 2 | 10/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Richard Downey | 2571659 | 1 | 06/27/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Steven Kramer | 1180693 | 4 | 05/27/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kyle Michael Rainwater | 5958086 | 3 | 12/12/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kyle Michael Rainwater | 5958086 | 3 | 12/09/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven E Crouch | 3273557 | 1 | 04/05/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Keith Cole | 1787207 | 2 | 07/01/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Andrew Pirtle | 2562472 | 1 | 02/28/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Paul Price | 2831795 | 1 | 12/22/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |