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 |
|---|---|---|---|---|---|---|---|---|
| Richard Bruce Goldstein | 851676 | 6 | 06/03/1999 | Customer Dispute | Settled | $201,538.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 05/18/1999 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| William Mitchell Lefkowitz | 1170503 | 9 | 04/23/1999 | Customer Dispute | Withdrawn | $15,000.00 | $0.00 | See FINRA Report |
| Alfred Cutler Barnes McNevin | 859485 | 1 | 04/09/1999 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Martin William Padilla | 2442136 | 11 | 03/10/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Richard Bruce Goldstein | 851676 | 6 | 02/24/1999 | Customer Dispute | Settled | $187,000.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 01/21/1999 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Neil Robert Bradie | 1110662 | 2 | 01/14/1999 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| William John Braun | 1271500 | 4 | 11/20/1998 | Customer Dispute | Denied | $22,637.00 | $5,000.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 10/16/1998 | Customer Dispute | Settled | $124,107.00 | $0.00 | See FINRA Report |