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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Harris Rothchild | 4491932 | 6 | 03/28/2018 | Customer Dispute | Settled | $149,237.00 | $0.00 | See FINRA Report |
| Steven Harman Mogul | 2834356 | 2 | 02/27/2018 | Customer Dispute | Denied | $36,923.20 | $0.00 | See FINRA Report |
| Brenton William Collins | 4915000 | 3 | 02/13/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Walter Vincent Nelson | 2275929 | 2 | 01/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 10/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Patrick Thurman | 2342398 | 3 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Allyn Fratkin | 213245 | 1 | 01/09/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Germaine Louise Broussard | 2684038 | 1 | 01/09/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Abramowitz | 4437589 | 3 | 12/19/2016 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 12/19/2016 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |