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 |
|---|---|---|---|---|---|---|---|---|
| Darren Keefe Daye | 3032746 | 2 | 12/07/2006 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 09/18/2006 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 08/29/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Carl Bergeron | 500259 | 4 | 08/14/2006 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| George Einar Ray | 734502 | 2 | 06/27/2006 | Customer Dispute | Denied | $24,200.00 | $0.00 | See FINRA Report |
| Mike Angelopoulos | 4070101 | 4 | 06/23/2006 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 06/12/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 04/20/2006 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Nitin Gobindram Bahirwani | 4748899 | 5 | 03/30/2006 | Customer Dispute | Withdrawn | $29,350.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 03/01/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |