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 |
|---|---|---|---|---|---|---|---|---|
| Robert Malachy Cully | 1423747 | 7 | 02/23/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gene Randall Rhoades | 1939639 | 4 | 01/10/2006 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| William Mitchell Lefkowitz | 1170503 | 9 | 12/20/2005 | Customer Dispute | Settled | $2,750.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 12/19/2005 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 12/14/2005 | Customer Dispute | Denied | $37,399.90 | $0.00 | See FINRA Report |
| Gregory George Scrydloff | 2088063 | 3 | 10/26/2005 | Customer Dispute | Denied | $5,579.17 | $0.00 | See FINRA Report |
| Michael Joseph Allan | 1257882 | 1 | 10/17/2005 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Christopher Russo | 2744913 | 4 | 08/02/2005 | Customer Dispute | Denied | $76,000.00 | $0.00 | See FINRA Report |
| Nicholas Joseph Harrison | 4509581 | 3 | 08/02/2005 | Customer Dispute | Denied | $76,000.00 | $0.00 | See FINRA Report |
| Yitzchok Asher Goodman | 1052215 | 6 | 05/02/2005 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |