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 |
|---|---|---|---|---|---|---|---|---|
| Jasmine P Shah | 2025410 | 1 | 05/31/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Dennis Warner | 2435245 | 1 | 05/05/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael J Lee | 6777948 | 3 | 05/05/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael J Lee | 6777948 | 3 | 04/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael J Lee | 6777948 | 3 | 06/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jamaal Nathan Potter | 5203398 | 1 | 01/09/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Montague Stephan Henry | 1729463 | 5 | 12/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Montague Stephan Henry | 1729463 | 5 | 12/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sang Hoon Kang | 5504012 | 2 | 04/13/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sang Hoon Kang | 5504012 | 2 | 03/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |