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 |
|---|---|---|---|---|---|---|---|---|
| Kathryn Travis | 2161505 | 2 | 07/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Anthony Porpora | 1077716 | 8 | 05/07/2018 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Andrew H Bloom | 4387784 | 2 | 03/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 02/12/2018 | Customer Dispute | Settled | $224,968.00 | $0.00 | See FINRA Report |
| Dolores Kong | 4470059 | 3 | 10/23/2017 | Customer Dispute | Settled | $95,944.00 | $0.00 | See FINRA Report |
| Dolores Kong | 4470059 | 3 | 10/23/2017 | Customer Dispute | Settled | $67,000.00 | $0.00 | See FINRA Report |
| Joseph Thomas Finnerty | 6512562 | 1 | 08/31/2017 | Customer Dispute | Denied | $13,667.20 | $0.00 | See FINRA Report |
| Jack Frank Bruscianelli | 2113986 | 5 | 04/18/2017 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Frank Louis Nargentino | 1879020 | 2 | 03/20/2017 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 12/22/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |