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 |
|---|---|---|---|---|---|---|---|---|
| Boris Evgenevich Shabovta | 7210033 | 7 | 04/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 7 | 10/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 7 | 07/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 7 | 06/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 7 | 05/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yu Yeung Li | 4810955 | 1 | 07/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Patrick King | 5586602 | 1 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel H Corniel | 5989327 | 2 | 10/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Galina Garkusha | 6967012 | 3 | 04/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Galina Garkusha | 6967012 | 3 | 04/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |