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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| Jennifer Lynne Chatterton | 4790319 | 5 | 07/27/2012 | Customer Dispute | Denied | $48,955.00 | $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 |
| Jennifer Lynne Chatterton | 4790319 | 5 | 09/12/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |