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 |
|---|---|---|---|---|---|---|---|---|
| Steven Craig Behrle | 1213354 | 2 | 02/02/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 02/22/1988 | Customer Dispute | Settled | $126,875.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 01/07/1988 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 01/01/1988 | Customer Dispute | Award / Judgment | $820.00 | $820.00 | See FINRA Report |
| Carlton Creig Okamoto | 351663 | 1 | 01/01/1985 | Customer Dispute | Award / Judgment | $17,000.00 | $1,500.00 | See FINRA Report |