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 |
|---|---|---|---|---|---|---|---|---|
| Willard Louis Pugh | 1757428 | 1 | 12/22/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Russo | 2744913 | 4 | 05/24/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Shaun Evan Stein | 4873578 | 3 | 05/11/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 04/08/2020 | Customer Dispute | Settled | $642,224.00 | $0.00 | See FINRA Report |
| Shaun Evan Stein | 4873578 | 3 | 03/17/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Viqas Akhtar | 5624412 | 9 | 03/17/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Viqas Akhtar | 5624412 | 9 | 03/04/2020 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Michael A Kokoskie | 5640421 | 1 | 02/14/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 01/08/2020 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Russell Marc Fiske | 1923202 | 1 | 11/26/2019 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |