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 |
|---|---|---|---|---|---|---|---|---|
| Michael Roy Blueweiss | 728969 | 9 | 10/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Allyn Fratkin | 213245 | 1 | 01/09/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Germaine Louise Broussard | 2684038 | 1 | 01/09/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Harris Rothchild | 4491932 | 6 | 04/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Harris Rothchild | 4491932 | 6 | 04/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Lawrence Cantor | 2881471 | 2 | 11/25/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Merlin Earl Ames | 5039655 | 4 | 03/03/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dianne Marie Larson | 4690759 | 3 | 09/20/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel Dow Wyman | 473707 | 5 | 12/10/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Lewton Larson | 1092785 | 3 | 04/24/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |