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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Joseph Kennedy | 267895 | 6 | 05/17/2001 | Customer Dispute | Settled | $1,070,950.00 | $0.00 | See FINRA Report |
| James David Rollerson | 2289252 | 4 | 04/05/2001 | Customer Dispute | Settled | $2,650,000.00 | $0.00 | See FINRA Report |
| Jorge Christian Chain | 1525146 | 1 | 03/28/2001 | Customer Dispute | Settled | $10,540.00 | $0.00 | See FINRA Report |
| Russell Edwin Herman | 243857 | 2 | 03/13/2001 | Customer Dispute | Denied | $270,538.00 | $0.00 | See FINRA Report |
| Michael Patrick McCall | 2354208 | 3 | 01/12/2001 | Customer Dispute | Settled | $209,554.00 | $0.00 | See FINRA Report |
| Robert Theodore Runnfeldt | 1949914 | 4 | 01/12/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Neil Scott Meissner | 1942821 | 4 | 12/22/2000 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Daniel Ortega | 3095215 | 1 | 11/22/2000 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Matthew Bruce Schechner | 2383117 | 2 | 10/05/2000 | Customer Dispute | Closed-No Action | $17,024.60 | $0.00 | See FINRA Report |
| Kerry L Hoffman | 2224354 | 4 | 10/05/2000 | Customer Dispute | Closed-No Action | $17,024.60 | $0.00 | See FINRA Report |