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 |
|---|---|---|---|---|---|---|---|---|
| Mark Angelo Gassoso | 2590007 | 2 | 06/23/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Frank Bruscianelli | 2113986 | 5 | 05/28/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryn Travis | 2161505 | 2 | 02/10/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Anthony Porpora | 1077716 | 8 | 01/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Gelber | 1820592 | 4 | 05/02/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Montague Stephan Henry | 1729463 | 5 | 07/01/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 10/21/1993 | Customer Dispute | Final | $10,102.00 | $0.00 | See FINRA Report |
| William Mitchell Lefkowitz | 1170503 | 9 | 12/06/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Charles Cordera | 849038 | 2 | 11/05/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Mullen | 1428116 | 2 | 10/25/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |