Arete Wealth Management

Broker Raymond Lent in Arete Wealth Management, LLC Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

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.

Broker Ray anthony San pedro in Arete Wealth Management, LLC Firm Has Customer Complaint

March 11, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Unbo Chung in Firm Arete Wealth Management, LLC

March 8, 2025 | by Staff Attorney

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.

Broker Kenneth New in Arete Wealth Management, LLC Firm Has Customer Complaint

March 8, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Brittani Schaefer in Firm Arete Wealth Management, LLC

March 5, 2025 | by Staff Attorney

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

Broker Kenneth New in Arete Wealth Management, LLC Firm Has Customer Complaint

February 26, 2025 | by Staff Attorney

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.

Broker Micah Rayner in Arete Wealth Management, LLC Firm Has Customer Complaint

February 23, 2025 | by Staff Attorney

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.

Broker Jason Lamb in Arete Wealth Management, LLC Firm Has Customer Complaint

February 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lamb (Lamb), currently associated with Arete Wealth Management, LLC, has at least 10 disclosable events. These events include 10 customer complaints, alleging that Lamb 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.

There are Recent Customer Complaints with Broker Michael Romano in Firm Arete Wealth Management, LLC

February 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Romano (Romano), previously associated with Arete Wealth Management, LLC, has at least 16 disclosable events. These events include 16 customer complaints, alleging that Romano 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.

Broker Unbo Chung in Arete Wealth Management, LLC Firm Has Customer Complaint

February 14, 2025 | by Staff Attorney

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 on January 17, 2025.

The controversy pertains to releases the SEC feels are misleading. These releases were not created, approved or disseminated by me or the firm.