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.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kenneth James New | 2836918 | 3 | 06/08/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Avi J Bialo | 6165479 | 5 | 06/06/2022 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Morgan Darby Hill | 4428819 | 5 | 06/06/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 02/04/2022 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hardee | 1701419 | 2 | 01/13/2022 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Napolitano | 4157999 | 1 | 11/29/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 09/23/2021 | Customer Dispute | Withdrawn | $250,000.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 09/14/2021 | Customer Dispute | Settled | $730,000.00 | $0.00 | See FINRA Report |
| Benjamin Paul Barbour | 5948847 | 2 | 09/09/2021 | Customer Dispute | Settled | $34,800.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 08/17/2021 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |