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| Jay Sailesh Sheth | 4656009 | 4 | 09/23/2021 | Customer Dispute | Withdrawn | $250,000.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 09/14/2021 | Customer Dispute | Settled | $730,000.00 | $0.00 | See FINRA Report |
| Benjamin Paul Barbour | 5948847 | 2 | 09/09/2021 | Customer Dispute | Settled | $34,800.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 08/17/2021 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Joseph A Gileno | 5878977 | 1 | 08/17/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hardee | 1701419 | 2 | 08/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick O'Neill | 5732819 | 3 | 06/30/2021 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 03/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 12/01/2020 | Customer Dispute | Settled | $18,331.00 | $0.00 | See FINRA Report |