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 |
|---|---|---|---|---|---|---|---|---|
| Harvey Bobby Kletzkin | 1233080 | 1 | 04/30/2013 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Scott Forest Glazer | 2796418 | 2 | 12/07/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 08/20/2012 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Gene Randall Rhoades | 1939639 | 4 | 08/02/2012 | Customer Dispute | Settled | $12,793.80 | $0.00 | See FINRA Report |
| Jennifer Lynne Chatterton | 4790319 | 5 | 07/27/2012 | Customer Dispute | Denied | $48,955.00 | $0.00 | See FINRA Report |
| Michael Patrick McCall | 2354208 | 3 | 05/01/2012 | Customer Dispute | Settled | $104,337.00 | $0.00 | See FINRA Report |
| William Mitchell Lefkowitz | 1170503 | 9 | 04/17/2012 | Customer Dispute | Settled | $19,080.40 | $0.00 | See FINRA Report |
| Jack Frank Bruscianelli | 2113986 | 5 | 03/21/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynne Chatterton | 4790319 | 5 | 12/13/2011 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Jennifer Lynne Chatterton | 4790319 | 5 | 12/06/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |