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 |
|---|---|---|---|---|---|---|---|---|
| Paul Cortez Rodriguez | 2150742 | 1 | 05/13/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Francis Patrick | 1316055 | 1 | 06/12/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Edward Bond | 4658534 | 3 | 01/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick O'Neill | 5732819 | 3 | 01/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dwain Phelps | 3118685 | 2 | 08/21/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Robert Burnham | 4448579 | 1 | 09/09/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Howard Medeck | 3011429 | 6 | 05/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Craig Levy | 2948291 | 1 | 05/12/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Jay Rosenkranz | 2292268 | 1 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aram Seferian | 2655168 | 4 | 04/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |