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 |
|---|---|---|---|---|---|---|---|---|
| Viqas Akhtar | 5624412 | 9 | 12/01/2011 | Customer Dispute | Closed-No Action | $7,132.00 | $0.00 | See FINRA Report |
| James Brian Raby | 2043246 | 3 | 11/30/2011 | Customer Dispute | Closed-No Action | $450,000.00 | $0.00 | See FINRA Report |
| Ronald Steven Kramer | 1180693 | 4 | 11/16/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Mark Joseph Bruscianelli | 4177839 | 10 | 11/16/2011 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 10/17/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David Murlin Luedecker | 1971135 | 1 | 10/13/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Neil Scott Meissner | 1942821 | 4 | 09/16/2011 | Customer Dispute | Settled | $9,261.00 | $0.00 | See FINRA Report |
| Jennifer Lynne Chatterton | 4790319 | 5 | 09/12/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Bruscianelli | 4177839 | 10 | 08/18/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Warren Amroy Scott | 1719999 | 2 | 07/15/2011 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |