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 |
|---|---|---|---|---|---|---|---|---|
| Shawn M Devillier | 1730798 | 7 | 11/18/2002 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Rushdi Zalatimo | 3105039 | 2 | 11/14/2002 | Customer Dispute | Settled | $104,466.00 | $0.00 | See FINRA Report |
| Jason N Ginder | 1577288 | 4 | 08/21/2002 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| John Carl Bergeron | 500259 | 4 | 08/06/2002 | Customer Dispute | Award / Judgment | $640,000.00 | $152,362.00 | See FINRA Report |
| Marc Lowlicht | 1848642 | 1 | 06/25/2002 | Customer Dispute | Denied | $47,400.00 | $0.00 | See FINRA Report |
| Dominick Anthony Ciocia | 1751317 | 2 | 06/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Joseph Harrison | 4509581 | 3 | 05/14/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| John Joseph Leniart | 1792221 | 1 | 05/02/2002 | Customer Dispute | Pending | $57,784.40 | $0.00 | See FINRA Report |
| Robert Theodore Runnfeldt | 1949914 | 4 | 04/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph E Derose | 721488 | 4 | 02/22/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |