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 Patrick O'Neill | 5732819 | 3 | 03/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Price Lamb | 3248356 | 1 | 08/12/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth James New | 2836918 | 3 | 02/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Merlin Earl Ames | 5039655 | 4 | 06/07/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Charles Levine | 2569418 | 2 | 04/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dianne Marie Larson | 4690759 | 3 | 06/03/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dianne Marie Larson | 4690759 | 3 | 02/02/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Carl Hock | 2246268 | 1 | 10/15/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joon Han Rhee | 2167218 | 3 | 11/23/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Dow Wyman | 473707 | 5 | 06/05/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |