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 |
|---|---|---|---|---|---|---|---|---|
| Richard Bruce Goldstein | 851676 | 6 | 06/13/2016 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Kyle Michael Rainwater | 5958086 | 3 | 02/05/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Russell Edwin Herman | 243857 | 2 | 07/08/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 03/31/2015 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| John Lawrance Dziubela | 2487970 | 2 | 02/25/2015 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Mark Joseph Bruscianelli | 4177839 | 10 | 12/16/2014 | Customer Dispute | Settled | $71,588.00 | $0.00 | See FINRA Report |
| Andrew H Bloom | 4387784 | 2 | 11/19/2014 | Customer Dispute | Settled | $26,685.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 10/08/2014 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 07/11/2014 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| Kevin Keane | 2153809 | 7 | 03/17/2014 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |