B. RILEY & CO., LLC ⚠ Disclosure events

FINRA firm 40355 · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID: 40355
Firm name: B. RILEY & CO., LLC
Other names / DBAs: B. RILEY & CO., LLC; B. RILEY ASSET MANAGEMENT; B. RILEY AND CO. INC.
IA scope: —
SEC BD file: 8-49016
Branches: 0
Disclosure events: YES

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