Nex Systems
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B. Riley Wealth Management

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/30/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062526201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: B. Riley Wealth Management (Respondent) Member Firm CRD No. 2543 Pursuant to FINRA Rule 9216, Respondent B. Riley Wealth Management (BRWM) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2019062526201data-portal.finra.orgfinra.org

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