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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Steven Kramer | 1180693 | 4 | 05/01/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel John Moynihan | 1395196 | 4 | 04/28/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Keith Cole | 1787207 | 2 | 08/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Allen Gelber | 1820592 | 4 | 07/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Howard Marcus | 734017 | 11 | 12/14/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Mitchell Lefkowitz | 1170503 | 9 | 01/12/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Baroutas | 1252613 | 4 | 12/11/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |