Tag Archives: Arete Wealth Management LLC

FINRA Sanctions Arete Stockbrokers For Selling Away

December 01, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Arete Stockbrokers For Selling Away

Gurpreet Singh Chandhoke and Stephen Fitzgerald Shea both of Orinda California and stockbrokers who were formerly registered with Penserra Securities LLC and Arete Wealth Management have been fined $50,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers […]

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Investors Accuse First Allied Securities Of Fraud

October 08, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud, Stockbroker Negligence   |   Comments Off on Investors Accuse First Allied Securities Of Fraud

Dennis Patrick Thurman of Sioux Falls South Dakota a stockbroker registered with First Allied Securities and investment adviser representative of Arete Wealth Management LLC is identified in a customer initiated investment related complaint on March 15, 2019 in which the customer sought $11,997.97 in damages supported by accusations that a contract had been breached and […]

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Oppenheimer Pays Investor For Unauthorized Trading Claim

March 28, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Matthew Eric Platnico (also known as Matt Platnico) of New York New York a stockbroker formerly registered with Oppenheimer Co. Inc. is the subject of a customer initiated investment related written complaint which was resolved for $95,690.00 on February 5, 2019 based upon allegations that while Platnico was associated with Oppenheimer: (1) unauthorized options trades […]

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Arete Wealth Management Stockbroker Barred for Fraud

Jonathan Greenfield of Woodland Hills, California, a stockbroker with Arete Wealth Management, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Order Accepting Offer of Settlement containing findings that Greenfield made fraudulent misrepresentations and omissions of material facts in connection with the sale of secured […]

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