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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Edward Bond | 4658534 | 3 | 09/22/2016 | Customer Dispute | Closed-No Action | $546,735.00 | $0.00 | See FINRA Report |
| Walter Vincent Nelson | 2275929 | 2 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Francis Patrick | 1316055 | 1 | 06/12/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roshan A Loungani | 4256993 | 5 | 06/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Noella Santana | 5780007 | 2 | 05/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Noella Santana | 5780007 | 2 | 05/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 04/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Harris Rothchild | 4491932 | 6 | 04/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Harris Rothchild | 4491932 | 6 | 04/07/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Samuel Dow Wyman | 473707 | 5 | 08/14/2015 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |