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 |
|---|---|---|---|---|---|---|---|---|
| John Carl Bergeron | 500259 | 4 | 08/17/2000 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| James David Rollerson | 2289252 | 4 | 06/30/2000 | Customer Dispute | Closed-No Action | $27,500.00 | $0.00 | See FINRA Report |
| Michael Hayes Hamilton | 1226192 | 1 | 06/12/2000 | Customer Dispute | Settled | $182,739.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 01/21/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Allison Barbara Clago | 1193764 | 3 | 01/10/2000 | Customer Dispute | Closed-No Action | $5,926.00 | $0.00 | See FINRA Report |
| Joshua Robert Barg | 2638740 | 3 | 09/30/1999 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Scott Jay Kessler | 1647686 | 1 | 09/09/1999 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| William Brent Burks | 1523283 | 2 | 08/10/1999 | Customer Dispute | Settled | $10,894.10 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 07/12/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Bruce Goldstein | 851676 | 6 | 06/03/1999 | Customer Dispute | Settled | $201,538.00 | $0.00 | See FINRA Report |