Articles Tagged with Arete Wealth Management

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hill (Hill), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $50,000.00 on September 08, 2023.

Client alleges registered representative recommended an unsuitable investment.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on September 19, 2023.

Claims breach of contract, breach of fiduciary duty, churning, fraud, negligence, unauthorized and unsuitable trading

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Stanford (Stanford), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stanford 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 $60,000.00 on December 04, 2023.

Unsuitable recommendations, misleading investment advice, failure to conduct due diligence.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Shaun Stein (Stein), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Stein  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $722,528.00 on December 07, 2023.

Claimant alleges excessive trading losses.

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

FINRA BrokerCheck shows a pending customer complaint on February 29, 2024.

Customer alleges an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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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 one disclosable event. These events include one customer complaint, 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 $1,000,000.00 on May 08, 2025.

Unsuitable recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avi Bialo (Bialo), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bialo 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 $50,000.00 on January 08, 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 Michael Chadwick (Chadwick), currently associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chadwick 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 $40,000.00 on March 14, 2024.

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

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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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