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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Gaye Marcelli | 1648577 | 1 | 09/10/2020 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Kathryn Travis | 2161505 | 2 | 07/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Finnerty | 6512562 | 1 | 08/31/2017 | Customer Dispute | Denied | $13,667.20 | $0.00 | See FINRA Report |
| Shawn Patrick Kenney | 1580177 | 1 | 10/11/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey J Carter | 5332331 | 3 | 07/27/2016 | Customer Dispute | Denied | $16,800.00 | $0.00 | See FINRA Report |
| Kurt John Hilger | 2897097 | 1 | 07/20/2015 | Customer Dispute | Denied | $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 |
| Martin William Padilla | 2442136 | 11 | 12/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey J Carter | 5332331 | 3 | 11/06/2014 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Craig Elliott Lodge | 4095995 | 1 | 10/03/2014 | Customer Dispute | Denied | $55,642.50 | $0.00 | See FINRA Report |