Company Directory - B. Riley Securities
Company Details - B. Riley Securities
B. Riley Securities
WebsiteB. Riley Securities is an investment firm that specializes in a variety of financial services, including equity research, investment banking, and investment ratings. The firm aims to provide its clients with comprehensive financial insights and investment strategies to help them achieve their financial goals.
CCI Score
CCI Score: B. Riley Securities
-21.47
Latest Event
B. Riley Faces FINRA Regulatory Examination
B. Riley Financial Inc.'s wealth management division disclosed a FINRA regulatory examination as part of routine inquiries, amid ongoing arbitration claims and SEC subpoenas concerning alleged securities law violations tied to its troubled investment in FRG.
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ACCOMPLICE
B. Riley Securities is currently rated as an Accomplice.
Latest Events
- APR302025
B. Riley Financial Inc.'s wealth management division disclosed a FINRA regulatory examination as part of routine inquiries, amid ongoing arbitration claims and SEC subpoenas concerning alleged securities law violations tied to its troubled investment in FRG.
-20
Business Practices and Ethical Responsibility
July 2
The regulatory inquiry by FINRA and the ongoing arbitration claims indicate lapses in corporate transparency and accountability. Such practices, which can undermine investor trust and protection—especially among vulnerable stakeholders—reflect poorly on business ethics, highlighting deficiencies in responsible corporate behavior.
- APR242025
The OpenSecrets profile reveals that in the 2024 cycle, B Riley Financial recorded $20,541 in political contributions and spent $80,000 on lobbying. This data highlights the firm's engagement in political finance, raising questions about its influence on policy during a period of rising authoritarian tendencies.
-20
Political Contributions and Lobbying Efforts
July 2
The firm's involvement in political financing, particularly its $80,000 lobbying expenditure paired with $20,541 in contributions, can be seen as an attempt to influence policy outcomes. From an anti-fascist perspective, even moderate levels of lobbying and campaign contributions are concerning as they may contribute to the erosion of democratic accountability and promote elitist influence. The use of these funds in a politically charged environment suggests a need for increased scrutiny.
- FEB062025
An OpenSecrets profile from the 2024 election cycle details that B. Riley Financial directed its contributions predominantly toward Democratic recipients (9 recipients with a total of $4,816) and only a marginal contribution to a Republican recipient ($99). This pattern reflects an anti-fascist stance by favoring progressive candidates over authoritarian-leaning alternatives.
+30
Political Contributions and Lobbying Efforts
July 2
The donation breakdown shows a clear preference for supporting Democratic candidates, which in the current context stands against authoritarian and far-right ideologies. Although the amounts are modest, the skew towards progressive recipients is a positive signal in the fight against fascism.
- JAN142025
The SEC has issued subpoenas and is investigating B. Riley Financial Inc. over a controversial $200 million loan to ex-FRG chief executive Brian Kahn, secured against now-virtually worthless FRG shares, as well as the personal loan collateralized by Chairman Bryant Riley’s own shares. The firm, along with its founder, is cooperating with the investigation amid broader concerns following the collapse of Franchise Group.
-30
Business Practices and Ethical Responsibility
July 2
The SEC probe into B. Riley’s handling of a large, controversial personal loan and its dealings with the bankrupt Franchise Group raises serious questions about the firm’s business practices and ethical responsibility. The investigation highlights potential issues with transparency and financial management that may undermine stakeholder trust, although the company is reportedly cooperating with regulators.
SEC probes B. Riley loan to founder, deals with franchise group
- FEB202024
A class action lawsuit was filed against B. Riley Financial alleging that the company engaged in questionable financing practices and concealed connections to a client's fraudulent activities, thereby misleading investors and risking regulatory scrutiny.
-80
Business Practices and Ethical Responsibility
July 2
The lawsuit alleges that B. Riley Financial violated securities laws by concealing material information and continuing to finance transactions despite credible allegations of fraud. This undermines corporate transparency and ethical business practices, which are critical for protecting investors and maintaining fair market practices.
- MAR312023
According to OpenSecrets data, B Riley Financial spent $90,000 on lobbying efforts during the period January 1 to March 31, 2023. This action reflects the firm's engagement in political influence, which can be seen as contributing to the broader corporate efforts that may undermine progressive policies.
-25
Political Contributions and Lobbying Efforts
July 2
The firm’s $90,000 spending on lobbying in 2023 indicates active political influence efforts. From an anti-fascist perspective, such lobbying can serve to uphold systems that favor corporate interests over progressive reforms and marginalized communities, thus warranting a negative rating.
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