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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Dennis Shane McMillan | 5126963 | 4 | 06/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ray Anthony Garrido San Pedro | 4565686 | 3 | 07/07/2014 | Customer Dispute | Denied | $6,775.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 10/07/2013 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Peter Elliot Marshall | 2208035 | 3 | 01/27/2012 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Kraig Richard Mickelsen | 2845238 | 1 | 01/04/2012 | Customer Dispute | Denied | $33,962.30 | $0.00 | See FINRA Report |
| David Leon Lynn | 601089 | 1 | 08/08/2011 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Steven Harman Mogul | 2834356 | 2 | 09/13/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |