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 | 3 | 12/22/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Edward Paul Deicke | 1944593 | 5 | 12/10/2021 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Nitin Gobindram Bahirwani | 4748899 | 5 | 11/24/2021 | Customer Dispute | Closed-No Action | $354,130.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 8 | 11/16/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Tortorici | 2741139 | 1 | 11/12/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 10 | 11/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Lee Lyon | 2213888 | 9 | 07/30/2021 | Customer Dispute | Withdrawn | $120,000.00 | $0.00 | See FINRA Report |
| William John Braun | 1271500 | 11 | 07/30/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 8 | 04/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy James Breslin | 2981153 | 3 | 03/05/2021 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |