Did you suffer investment losses with Arete Wealth Management (CRD# 44856) (SEC# 8-50854)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Arete Wealth Management. If you suffered losses investing with Arete Wealth Management, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, Arete Wealth Management’s FINRA BrokerCheck Report contains the following:
2 Regulatory Event Disclosures
Main Office Location
1115 W FULTON MARKET
3RD FLOOR
CHICAGO, IL 60607
UNITED STATES
Mailing Address
1115 W FULTON MARKET
3RD FLOOR
CHICAGO, IL 60607
UNITED STATES
Business Telephone Number
312-940-3684
Arete Wealth Management’s Direct Owners and Executive Officers
OLD GROWTH CAPITAL, LLC, DIRECT OWNER
CHUNG, UNBO (CRD#:6208569), CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER
HOCK, DAVID CARL (CRD#:2246268), CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP)
ROGERS, JOSHUA DEAN (CRD#:3163818), CHIEF EXECUTIVE OFFICER
SCOBY, CORRIE FAULK DAVIS (CRD#:4539509), REGISTERED OPTIONS & SECURITY FUTURES PRINCIPAL (ROSFP) / MUNICIPAL SECURITIES PRINCIPAL
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Arete Wealth Management and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
KEYSTONE INVESTMENT ADVISORS, LLC, KEYSTONE SECURITIES, LLC, KEYSTONE SECURITIES, LLC., KEYSTONE INVESTMENT ADVISORS, LLC, KEYSTONE SECURITIES, LLC, KEYSTONE SECURITIES, LLC.
