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 | 10/26/2022 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| James Baroutas | 1252613 | 4 | 07/27/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John Thomas Holly | 1713313 | 1 | 07/18/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Perry Clementi | 2265760 | 3 | 05/27/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kerry L Hoffman | 2224354 | 4 | 05/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Willard Louis Pugh | 1757428 | 1 | 12/22/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Nitin Gobindram Bahirwani | 4748899 | 5 | 11/24/2021 | Customer Dispute | Closed-No Action | $354,130.00 | $0.00 | See FINRA Report |
| Lisa Gaye Marcelli | 1648577 | 1 | 09/10/2020 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Christopher Russo | 2744913 | 4 | 05/24/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Shaun Evan Stein | 4873578 | 3 | 05/11/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |