Articles Tagged with Arete Wealth Management

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Sherry (Sherry), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $44,016.00 on May 03, 2024.

Customer claims RR did not monitor account performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Olson (Olson), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $104,832.47 on June 13, 2024.

Client alleges registered representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Gassoso (Gassoso), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gassoso recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on July 03, 2024.

Claimant alleges RR made unsuitable recommendations and mismanaged Claimant’s assets

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Lent (Lent), currently associated with Arete Wealth Management, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Lent recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 28, 2025.

Client alleges registered representative sold an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray anthony San pedro (San pedro), currently associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that San pedro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on October 15, 2024.

Breach of fiduciary duties.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Unbo Chung (Chung) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Chung was employed by Arete Wealth Management, LLC at the time of the activity.  If you have been a victim of Chung’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on December 02, 2024.

Client alleges unsuitable investment recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth New (New), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that New recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

Clients allege sale of unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittani Schaefer (Schaefer), previously associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schaefer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,200,000.00 on January 30, 2025.

Unsuitable recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth New (New), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that New recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

Clients allege sale of unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Micah Rayner (Rayner), currently associated with Arete Wealth Management, LLC, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Rayner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on December 02, 2024.

Client alleges unsuitable investment recommendation.

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