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 | 04/28/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brenton William Collins | 4915000 | 3 | 02/05/2010 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Nicholas Gregg Boetjer | 5113754 | 1 | 01/15/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Young Choi | 2453451 | 1 | 01/11/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Damany Eric Henry | 2846968 | 1 | 06/15/2009 | Customer Dispute | Settled | $100,000.00 | $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 |
| Ronan David Cox | 2693480 | 1 | 09/25/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dwain Phelps | 3118685 | 2 | 08/21/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |