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 |
|---|---|---|---|---|---|---|---|---|
| Howard Marcus | 734017 | 11 | 08/01/1990 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Jay Thoburn Brown | 32494 | 3 | 05/07/1990 | Customer Dispute | Settled | $48,796.40 | $0.00 | See FINRA Report |
| Jay Thoburn Brown | 32494 | 3 | 03/07/1990 | Customer Dispute | Settled | $45,157.80 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 01/15/1990 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Mark Edward Lefevre | 859944 | 2 | 10/06/1989 | Customer Dispute | Settled | $106,624.00 | $0.00 | See FINRA Report |
| Howard Marcus | 734017 | 11 | 05/05/1989 | Customer Dispute | Settled | $87,706.00 | $0.00 | See FINRA Report |
| Steven Craig Behrle | 1213354 | 2 | 02/02/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 02/22/1988 | Customer Dispute | Settled | $126,875.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 01/07/1988 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |