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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Harris Rothchild | 4491932 | 6 | 07/30/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Abramowitz | 4437589 | 3 | 03/28/2018 | Customer Dispute | Settled | $149,237.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 03/28/2018 | Customer Dispute | Settled | $149,237.00 | $0.00 | See FINRA Report |
| Steven Harman Mogul | 2834356 | 2 | 02/27/2018 | Customer Dispute | Denied | $36,923.20 | $0.00 | See FINRA Report |
| Brenton William Collins | 4915000 | 3 | 02/13/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Robert Abramowitz | 4437589 | 3 | 12/19/2016 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 12/19/2016 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Christopher Edward Bond | 4658534 | 3 | 09/22/2016 | Customer Dispute | Closed-No Action | $546,735.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 04/07/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Samuel Dow Wyman | 473707 | 5 | 08/14/2015 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |