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 |
|---|---|---|---|---|---|---|---|---|
| Dwain Phelps | 3118685 | 2 | 08/05/2008 | Customer Dispute | Denied | $9,743.04 | $0.00 | See FINRA Report |
| David Colley | 4373786 | 1 | 03/24/2008 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Dianne Marie Larson | 4690759 | 3 | 09/20/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Everett Schrader | 1386624 | 8 | 01/17/2006 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Daniel Hyun Bum Soe | 4838912 | 1 | 05/02/2005 | Customer Dispute | Closed-No Action | $13,200.00 | $0.00 | See FINRA Report |
| Joon Han Rhee | 2167218 | 3 | 11/23/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 11/17/2004 | Customer Dispute | Denied | $22,495.30 | $0.00 | See FINRA Report |
| Michael Andrew Black | 1318058 | 2 | 07/07/2004 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Faysal Alam | 4571922 | 1 | 05/07/2004 | Customer Dispute | Closed-No Action | $39,461.00 | $0.00 | See FINRA Report |
| Aram Seferian | 2655168 | 4 | 11/04/2003 | Customer Dispute | Settled | $1,001,670.00 | $0.00 | See FINRA Report |