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 |
|---|---|---|---|---|---|---|---|---|
| James David Rollerson | 2289252 | 4 | 04/29/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Benjamin Davis Prescott | 5153942 | 1 | 07/06/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Nitin Gobindram Bahirwani | 4748899 | 5 | 03/30/2006 | Customer Dispute | Withdrawn | $29,350.00 | $0.00 | See FINRA Report |
| Thomas Lee Udelson | 1254444 | 1 | 08/02/2004 | Customer Dispute | Withdrawn | $9,004.00 | $0.00 | See FINRA Report |
| William Mitchell Lefkowitz | 1170503 | 9 | 04/23/1999 | Customer Dispute | Withdrawn | $15,000.00 | $0.00 | See FINRA Report |
| Michael Markunas | 1832307 | 5 | 01/21/1999 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |