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 |
|---|---|---|---|---|---|---|---|---|
| Craig Giovanni Bodden | 3209902 | 1 | 06/20/2011 | Customer Dispute | Closed-No Action | $43,802.30 | $0.00 | See FINRA Report |
| David Charles Levine | 2569418 | 2 | 04/07/2011 | Regulatory | Final | $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 | |
| Merlin Earl Ames | 5039655 | 4 | 02/23/2011 | Customer Dispute | Pending | $9,000.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 02/23/2011 | Customer Dispute | Settled | $252,770.00 | $0.00 | See FINRA Report |
| Richard Raymond Brown | 2541545 | 1 | 02/17/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brenton William Collins | 4915000 | 3 | 09/15/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Harman Mogul | 2834356 | 2 | 09/13/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Elliot Marshall | 2208035 | 3 | 07/01/2010 | Customer Dispute | Award / Judgment | $925,000.00 | $0.00 | See FINRA Report |
| Keith Howard Medeck | 3011429 | 6 | 04/28/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |