Legal Disclosures

At B. Riley and Co., we offer unparalleled value, proprietary research, and creative banking solutions to our clients.

Legal Disclosures

Legal Disclosures

B. Riley Capital Management, (“BRCM” or the “Firm”), is an SEC registered investment advisor and a wholly owned subsidiary of B. Riley Financial, Inc. (NASDAQ: RILY). Complete information about BRCM’s capabilities and disclosures can be found at: https://adviserinfo.sec.gov/Firm/160510.

This website is not an offer to, or solicitation of, any potential clients or investors for the provision by BRCM, advisory or any other related services. No material listed on this website is or should be construed as investment advice, nor is anything on this website an offer to sell, or a solicitation of an offer to buy, any security or other instrument.

Any recommendation contained in any email may not be suitable for all investors. Although the information contained herein has been obtained from sources believed to be reliable, its accuracy and completeness cannot be guaranteed. BRCM, funds under its management or its affiliates, may have positions or provide services to the issuer of the securities mentioned herein (or options with respect thereto). In addition, employees of BRCM may have positions and effect transactions in the securities or options of the issuers mentioned herein and may serve as directors of such issuers.

The performance contained in any email is intended for informational purposes only, and does not constitute advice or an offer, solicitation or endorsement with respect to BRCM or the funds under its management, or for any investment strategy or vehicle. No representation is being made that an investor will or is likely to achieve performance similar to the results depicted. The performance information above may not be indicative of future results. BRCM may not be held liable for any errors or omissions on the information provided.

Click HERE to download the privacy policy & CCPA notice.

BRCM recognizes its operational dependency on computer systems, networks, database services, Internet, e-mail, telephone and fax services, electrical power and other essential items and the potential loss of revenue and operational control that may occur in the event of a disaster. BRCM has authorized the preparation, implementation and maintenance of this comprehensive Disaster Recovery Plan. The intent of this Plan is to provide a written and tested plan directing officers and employees to take certain actions in the event of an interruption in continuous services resulting from an unplanned or unexpected disaster.

This Disaster Recovery Plan is designed to recover from the “worst case” destruction of BRCM’s operating environment. The “worst case” destruction assumes the loss of the total facility, supporting infrastructures (e.g., power grids, telephone switching centers, microwave towers, and cell and wireless transmission sites near the location of BRCM), and the incapacity of key personnel. BRCM has created disaster recovery procedures which describes BRCM’s overall approach to disaster preparation and recovery. They are designed to minimize loss and ensure the continuity of the critical business functions of BRCM in the event of a disaster.

For more information about BRCM’s Disaster Recovery Plan, please contact IAcompliance@brileyam.com

Information is an asset. The Firm has a duty and responsibility to protect. The confidentiality, integrity and availability of complete and accurate information is essential to the Firm functioning in an efficient manner and providing products and services to clients. The Firm holds and processes confidential and personal information on private individuals, employees, partners and suppliers, and information relating to its own operations. In processing information, the Firm has a responsibility to safeguard information and prevent its misuse.

The purpose and objective of the Information Security Policy is to set out a framework for the protection of the Firm’s information assets:

  • to protect the firm’s information from threats, whether internal or external, deliberate or accidental,
  • to enable secure information sharing,
  • to encourage consistent and professional use of information,
  • to ensure that everyone is clear about their roles in using and protecting information,
  • to ensure business continuity and minimize business damage,
  • to protect the firm from legal liability and the inappropriate use of information.

The Information Security Policy covers the following areas:

  • Information Security Risk Management
  • Information Classification and Handling
  • Access Control
  • Password Policy
  • Hosted Services Security
  • Network Security
  • Server Security
  • Application Security
  • Database Security
  • Endpoint Security
  • Security Patching
  • Cryptographic Controls
  • Incident Response Management
  • Compliance
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