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 |
|---|---|---|---|---|---|---|---|---|
| Scott Edward Anderson | 4050337 | 1 | 07/15/2009 | Customer Dispute | Settled | $700,000.00 | $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 |
| Robert Theodore Runnfeldt | 1949914 | 4 | 05/21/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jay Shah | 4733217 | 2 | 05/08/2009 | Customer Dispute | Denied | $16,773.90 | $0.00 | See FINRA Report |
| Roz Werner | 4230551 | 1 | 04/10/2009 | Customer Dispute | Settled | $31,411.90 | $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 |
| Michael David Winski | 470098 | 1 | 01/20/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ephimia Coumanakos | 4860314 | 1 | 01/05/2009 | Customer Dispute | Denied | $7,100.00 | $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 |
| Darin Patrick Pope | 1894306 | 1 | 11/20/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |