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 |
|---|---|---|---|---|---|---|---|---|
| Howard Marcus | 734017 | 11 | 10/21/1993 | Customer Dispute | Award / Judgment | $24,066.00 | $40,905.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 10/21/1993 | Customer Dispute | Final | $10,102.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 06/08/1993 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 03/04/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Baroutas | 1252613 | 4 | 01/08/1993 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 10/13/1992 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 07/01/1992 | Customer Dispute | Settled | $15,500.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 03/01/1992 | Customer Dispute | Settled | $12,750.00 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 09/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 08/08/1991 | Customer Dispute | Settled | $53,000.00 | $0.00 | See FINRA Report |