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 |
|---|---|---|---|---|---|---|---|---|
| Joel H Corniel | 5989327 | 2 | 03/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nick Eugene Son | 1178523 | 4 | 02/12/2018 | Customer Dispute | Settled | $224,968.00 | $0.00 | See FINRA Report |
| Joseph Daniel Bergin | 1336791 | 2 | 02/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick Campbell | 2317807 | 9 | 02/02/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 11 | 01/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lynette A Lisiewski | 1308308 | 1 | 01/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick Campbell | 2317807 | 9 | 12/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin William Padilla | 2442136 | 11 | 12/06/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick Campbell | 2317807 | 9 | 10/26/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dolores Kong | 4470059 | 3 | 10/23/2017 | Customer Dispute | Settled | $95,944.00 | $0.00 | See FINRA Report |