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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Keane | 2153809 | 7 | 01/24/2002 | Customer Dispute | Closed-No Action | $17,454.00 | $0.00 | See FINRA Report |
| Michael Maher | 1626838 | 1 | 12/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Donald Dunstan | 1575567 | 1 | 11/28/2001 | Customer Dispute | Settled | $469,036.00 | $0.00 | See FINRA Report |
| Steven Craig Behrle | 1213354 | 2 | 11/08/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 11/01/2001 | Customer Dispute | Denied | $20,312.20 | $0.00 | See FINRA Report |
| Robert Theodore Runnfeldt | 1949914 | 4 | 09/13/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 09/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stuart Conley | 2765493 | 2 | 07/31/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 06/19/2001 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Rushdi Zalatimo | 3105039 | 2 | 06/16/2001 | Customer Dispute | Settled | $75,185.60 | $0.00 | See FINRA Report |