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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Shane McMillan | 5126963 | 4 | 11/05/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Benjamin Paul Barbour | 5948847 | 2 | 07/16/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 07/06/2020 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Joshua Dean Rogers | 3163818 | 1 | 04/23/2020 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael J Haffling | 5133150 | 6 | 04/22/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Paul Cortez Rodriguez | 2150742 | 1 | 05/13/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 11/01/2018 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Robert Abramowitz | 4437589 | 3 | 07/30/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 07/30/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Abramowitz | 4437589 | 3 | 03/28/2018 | Customer Dispute | Settled | $149,237.00 | $0.00 | See FINRA Report |