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 |
|---|---|---|---|---|---|---|---|---|
| David William Frederick | 1075196 | 4 | 03/07/2005 | Customer Dispute | Closed-No Action | $49,875.00 | $0.00 | See FINRA Report |
| William Mitchell Lefkowitz | 1170503 | 9 | 02/16/2005 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Daniel John Moynihan | 1395196 | 4 | 12/06/2004 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Gene Randall Rhoades | 1939639 | 4 | 08/17/2004 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Thomas Lee Udelson | 1254444 | 1 | 08/02/2004 | Customer Dispute | Withdrawn | $9,004.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 08/02/2004 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Nitin Gobindram Bahirwani | 4748899 | 5 | 06/01/2004 | Customer Dispute | Denied | $21,788.00 | $0.00 | See FINRA Report |
| John Lawrance Dziubela | 2487970 | 2 | 05/27/2004 | Customer Dispute | Settled | $15,381.80 | $0.00 | See FINRA Report |
| Mohammed Azeem Sheikh | 4222384 | 2 | 04/07/2004 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| William Brent Burks | 1523283 | 2 | 03/08/2004 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |