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 |
|---|---|---|---|---|---|---|---|---|
| Jay Sailesh Sheth | 4656009 | 4 | 09/06/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Kenneth James New | 2836918 | 3 | 06/08/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Avi J Bialo | 6165479 | 5 | 06/06/2022 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Morgan Darby Hill | 4428819 | 5 | 06/06/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Charles Levine | 2569418 | 2 | 05/31/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 04/07/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Edward Bond | 4658534 | 3 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 02/04/2022 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hardee | 1701419 | 2 | 01/13/2022 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Napolitano | 4157999 | 1 | 11/29/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |