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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Barry Grossman | 1288828 | 6 | 07/02/2003 | Customer Dispute | Settled | $111,991.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 06/01/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William David Morrison | 1556786 | 2 | 03/11/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Cameron Murphy | 864620 | 1 | 01/29/2003 | Customer Dispute | Denied | $17,561.70 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 01/17/2003 | Customer Dispute | Award / Judgment | $89,845.00 | $92,150.00 | See FINRA Report |
| Ralph E Derose | 721488 | 4 | 01/09/2003 | Customer Dispute | Denied | $120,000.00 | $0.00 | See FINRA Report |
| Michael Patrick McCall | 2354208 | 3 | 12/12/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Yitzchok Asher Goodman | 1052215 | 6 | 12/03/2002 | Customer Dispute | Award / Judgment | $92,785.00 | $51,988.60 | See FINRA Report |
| Joel Christopher Rolla | 2515481 | 2 | 11/25/2002 | Customer Dispute | Settled | $74,471.00 | $0.00 | See FINRA Report |
| Frank Louis Nargentino | 1879020 | 2 | 11/22/2002 | Customer Dispute | Award / Judgment | $940,431.00 | $14,800.00 | See FINRA Report |