Michael Markunas

Michael Markunas

Deputy General Counsel and Chief Compliance Officer of
B. Riley Securities
General Counsel and Chief Compliance Officer of
B. Riley Wealth Management

Areas of Expertise

  • Anti-money Laundering
  • Broker-dealer Compliance
  • Financial Analysis
  • Human Resource Management
  • Investment Banking
  • Litigation
  • Management Supervisory Experience
  • Portfolio Management
  • Securities Law
  • Sales Management
  • Wealth Management

INDUSTRIES

  • Financial Services
  • Wealth Management

Education

  • Georgetown University
  • Loyola Marymount University
  • University of San Diego

Michael Markunas is the General Counsel and Chief Compliance Officer for B. Riley Wealth Management, Inc. and the Deputy General Counsel and Chief Compliance Officer for B. Riley Securities, Inc. Prior to joining the firm, Markunas was the Chief Compliance Officer for a division of Apollo. Markunas has also worked at the Securities and Exchange Commission and at the Investment Company Institute. Prior to his regulatory career, Markunas spent several years litigating securities class action matters related to the financial crisis in New York City. Markunas has over 20 years of experience at several Wall Street broker-dealers in various management and compliance roles.

Markunas holds a B.A. in Finance and an MBA in Finance and International Economics from Loyola Marymount University. He also holds a J.D. from the University of San Diego and an LL.M. in Securities and Financial Regulatory Law from Georgetown University Law Center.

He was recognized as one of Los Angeles Business Journal's 2019 Leaders in Law.

B. Riley Financial ("B. Riley") provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley is headquartered in Los Angeles with offices across the U.S. as well as an international presence.