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FINRA Broker Disclosures for Arete Wealth Management, LLC

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.

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Displaying 81-90 out of 159 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Scott Lawrence Cantor2881471211/12/2013Customer DisputeSettled$400,000.00$0.00See FINRA Report
Roshan A Loungani4256993510/29/2013Customer DisputeSettled$200,000.00$0.00See FINRA Report
Roshan A Loungani4256993510/07/2013Customer DisputeDenied$97,000.00$0.00See FINRA Report
Roshan A Loungani4256993509/11/2013Customer DisputeClosed-No Action$199,000.00$0.00See FINRA Report
Peter Elliot Marshall2208035306/19/2013Customer DisputeSettled$875,000.00$0.00See FINRA Report
Roshan A Loungani4256993506/17/2013Customer DisputeSettled$76,019.00$0.00See FINRA Report
Kenneth James New2836918302/14/2013RegulatoryFinal$0.00$0.00See FINRA Report
Keith Howard Medeck3011429611/15/2012Judgment / Lien$0.00$0.00See FINRA Report
Ray Anthony Garrido San Pedro4565686310/05/2012Customer DisputeSettled$24,870.00$0.00See FINRA Report
Merlin Earl Ames5039655406/07/2012RegulatoryFinal$0.00$0.00See FINRA Report

159 Results

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