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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Mullen | 1428116 | 2 | 10/25/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Mandel Schiff | 2213376 | 2 | 07/01/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Mandel Schiff | 2213376 | 2 | 01/01/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William David Morrison | 1556786 | 2 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Montague Stephan Henry | 1729463 | 5 | 12/12/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Warren Sills | 1200463 | 1 | 10/25/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Braun | 1271500 | 4 | 06/24/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Shepard Waits | 864112 | 1 | 11/29/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Charles Cordera | 849038 | 2 | 11/29/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |