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 |
|---|---|---|---|---|---|---|---|---|
| Russell Edwin Herman | 243857 | 2 | 07/08/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc Thomas Deangelo | 5136000 | 1 | 06/16/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 03/31/2015 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Viqas Akhtar | 5624412 | 9 | 03/19/2015 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| John Lawrance Dziubela | 2487970 | 2 | 02/25/2015 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Martin William Padilla | 2442136 | 11 | 12/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Bruscianelli | 4177839 | 10 | 12/16/2014 | Customer Dispute | Settled | $71,588.00 | $0.00 | See FINRA Report |
| Andrew H Bloom | 4387784 | 2 | 11/19/2014 | Customer Dispute | Settled | $26,685.00 | $0.00 | See FINRA Report |
| Jeffrey J Carter | 5332331 | 3 | 11/06/2014 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 10/08/2014 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |