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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Allen Gelber | 1820592 | 4 | 05/08/1991 | Customer Dispute | Settled | $39,253.60 | $0.00 | See FINRA Report |
| Jay Thoburn Brown | 32494 | 3 | 03/14/1991 | Customer Dispute | Settled | $15,228.70 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 02/20/1991 | Customer Dispute | Settled | $258,000.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 08/01/1990 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Jay Thoburn Brown | 32494 | 3 | 05/07/1990 | Customer Dispute | Settled | $48,796.40 | $0.00 | See FINRA Report |
| Jay Thoburn Brown | 32494 | 3 | 03/07/1990 | Customer Dispute | Settled | $45,157.80 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 01/15/1990 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Mark Edward Lefevre | 859944 | 2 | 10/06/1989 | Customer Dispute | Settled | $106,624.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 05/05/1989 | Customer Dispute | Settled | $87,706.00 | $0.00 | See FINRA Report |
| Mark Edward Lefevre | 859944 | 2 | 04/14/1989 | Customer Dispute | Award / Judgment | $0.00 | $9,800.00 | See FINRA Report |