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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Anthony Porpora | 1077716 | 8 | 07/02/1996 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Jason N Ginder | 1577288 | 4 | 06/24/1996 | Customer Dispute | Settled | $64,300.00 | $0.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 05/06/1996 | Customer Dispute | Settled | $19,237.00 | $0.00 | See FINRA Report |
| Daniel John Moynihan | 1395196 | 4 | 04/13/1996 | Customer Dispute | Settled | $121,000.00 | $0.00 | See FINRA Report |
| Cynthia Lee Parris | 1047540 | 5 | 01/19/1996 | Customer Dispute | Settled | $158,850.00 | $0.00 | See FINRA Report |
| Ralph Anthony Porpora | 1077716 | 8 | 11/28/1995 | Customer Dispute | Settled | $759,000.00 | $0.00 | See FINRA Report |
| Cynthia Lee Parris | 1047540 | 5 | 06/26/1995 | Customer Dispute | Settled | $24,452.10 | $0.00 | See FINRA Report |
| Richard Bruce Goldstein | 851676 | 6 | 11/23/1994 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Gelber | 1820592 | 4 | 09/01/1994 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 06/08/1993 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |