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FINRA Broker Disclosures for Arete Wealth Management, LLC

Our Staff has compiled our research into a database of FINRA Broker Disclosures for Arete Wealth Management, LLC. Search or filter the database to find more about a specific broker.

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Displaying 10 out of 12 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Paul Cortez Rodriguez2150742105/13/2019CriminalFinal Disposition$0.00$0.00See FINRA Report
Edward Francis Patrick1316055106/12/2016CriminalFinal Disposition$0.00$0.00See FINRA Report
Christopher Edward Bond4658534301/26/2012CriminalFinal Disposition$0.00$0.00See FINRA Report
Michael Patrick O'Neill5732819301/12/2012CriminalFinal Disposition$0.00$0.00See FINRA Report
Dwain Phelps3118685208/21/2008CriminalFinal Disposition$0.00$0.00See FINRA Report
John Robert Burnham4448579109/09/1999CriminalFinal Disposition$0.00$0.00See FINRA Report
Keith Howard Medeck3011429605/14/1998CriminalFinal Disposition$0.00$0.00See FINRA Report
Matthew Craig Levy2948291105/12/1997CriminalFinal Disposition$0.00$0.00See FINRA Report
James Jay Rosenkranz2292268107/01/1994CriminalFinal Disposition$0.00$0.00See FINRA Report
Aram Seferian2655168404/30/1994CriminalFinal Disposition$0.00$0.00See FINRA Report

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