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November 20, 2023
Lawrence Greenfield Disclosed Arete Client Disputes

Soreide Law Group is conducting an investigation on behalf of investors who may have suffered losses at the hands of securities broker and financial advisor Lawrence Richard Greenfield (Larry Greenfield) [CRD#: 4056913, Woodland Hills, California]. Greenfield's record includes a tenure at LPL Financial LLC from July 2018 to May 2020, and at Arete Wealth Management […]

March 13, 2023
Avi Bialo Discloses Allegations Of Unsuitable Recommendations

Investors have come forward with complaints about Avi Bialo (also known as Avi J. Bialo) (CRD: 6165479, Los Angeles, California). Particularly, the securities broker, who worked for Arete Wealth Management LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arete Wealth Management LLC clients allege that Bialo made unsuitable recommendations. For more […]

April 4, 2022
Shane McMillan In Arete, Cambridge Clients’ Disputes

Broker Shane McMillan (Arete, Cambridge) Facing Investor Disputes The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information on securities broker Dennis Shane McMillan (CRD#: 5126963, Englewood, Colorado). Evidently, McMillan worked for Cambridge Investment Research and Cambridge Investment Research Advisors from 2011 to 2015. Also, he became an Arete Wealth Management securities broker in January […]

March 26, 2013
Arete Wealth Management Fined and Censured by FINRA for Lack of Due Diligence

The following is a summary of information that appeared on FINRA's website: Arete Wealth Management, LLC (CRD #44856, Schaumburg, Illinois) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it approved a private offering to customers and failed to […]

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