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 |
|---|---|---|---|---|---|---|---|---|
| Craig Elliott Lodge | 4095995 | 1 | 10/03/2014 | Customer Dispute | Denied | $55,642.50 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 07/11/2014 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| Matthew Bruce Schechner | 2383117 | 2 | 04/28/2014 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Henry McNaughton Fyfe | 1514374 | 1 | 03/21/2014 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 03/17/2014 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| James Brian Raby | 2043246 | 3 | 01/16/2014 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Viqas Akhtar | 5624412 | 9 | 10/03/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Cynthia Lee Parris | 1047540 | 5 | 09/26/2013 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Cynthia Lee Parris | 1047540 | 5 | 08/23/2013 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| James Brian Raby | 2043246 | 3 | 07/16/2013 | Customer Dispute | Closed-No Action | $1,655,000.00 | $0.00 | See FINRA Report |