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 |
|---|---|---|---|---|---|---|---|---|
| Keith Howard Medeck | 3011429 | 6 | 05/25/2012 | Customer Dispute | Settled | $324,458.00 | $0.00 | See FINRA Report |
| Samuel Dow Wyman | 473707 | 5 | 01/31/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Elliot Marshall | 2208035 | 3 | 01/27/2012 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| 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 |
| Joshua Eric Cross | 4522751 | 1 | 01/07/2012 | Customer Dispute | Settled | $44,810.60 | $0.00 | See FINRA Report |
| Paul Hunt Espey | 4768872 | 1 | 01/07/2012 | Customer Dispute | Settled | $44,810.60 | $0.00 | See FINRA Report |
| Mark Darren Cohen | 2054897 | 1 | 01/04/2012 | Customer Dispute | Closed-No Action | $0.00 | $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 |