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 |
|---|---|---|---|---|---|---|---|---|
| Russell Marc Fiske | 1923202 | 1 | 11/26/2019 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| Anthony Peter Craven | 6697969 | 1 | 11/25/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Thomas Zdrowak | 2491761 | 2 | 11/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Viqas Akhtar | 5624412 | 9 | 10/03/2019 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Yu Yeung Li | 4810955 | 1 | 07/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Daniel Bergin | 1336791 | 2 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James David Rollerson | 2289252 | 4 | 04/29/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel John Moynihan | 1395196 | 4 | 04/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Patrick King | 5586602 | 1 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Justin Caplen | 4212281 | 1 | 10/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |