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 |
---|---|---|---|---|---|---|---|---|
David Charles Levine | 2569418 | 2 | 05/31/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jay Sailesh Sheth | 4656009 | 4 | 04/07/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Christopher Edward Bond | 4658534 | 3 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jay Sailesh Sheth | 4656009 | 4 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Roshan A Loungani | 4256993 | 5 | 06/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
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 |