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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Keane | 2153809 | 7 | 02/12/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlton Creig Okamoto | 351663 | 1 | 01/01/1985 | Customer Dispute | Award / Judgment | $17,000.00 | $1,500.00 | See FINRA Report |
| Thomas Joseph Kuhn | 3174947 | 1 | 06/16/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Shepard Waits | 864112 | 1 | 11/29/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Charles Cordera | 849038 | 2 | 11/29/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Barbara Clago | 1193764 | 3 | 12/28/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dominick Anthony Ciocia | 1751317 | 2 | 08/09/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Boniello | 732496 | 1 | 04/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |