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 |
|---|---|---|---|---|---|---|---|---|
| Joon Han Rhee | 2167218 | 3 | 10/02/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Everett Schrader | 1386624 | 8 | 12/13/1994 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| James Jay Rosenkranz | 2292268 | 1 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aram Seferian | 2655168 | 4 | 04/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanley Jay Goldring | 224415 | 1 | 08/29/1990 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Mark Everett Schrader | 1386624 | 8 | 07/01/1989 | Customer Dispute | Award / Judgment | $2,500.00 | $1,015.00 | See FINRA Report |
| Merlin Earl Ames | 5039655 | 4 | 12/01/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Romano | 734293 | 1 | 01/26/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Lewton Larson | 1092785 | 3 | 12/31/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |