Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeffrey Larson (Larson) 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 Larson was employed by Arete Wealth Management, LLC at the time of the activity. If you have been a victim of Larson’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.
Jeff Larson violated Exchange Act Sections 15(a) and 10(b) [15 U.S.C\, \\u00a7\\u00a7 78o(a) and 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. \\u00a7 275.10b-5];\, violated Section 17(a) of the Securities Act of 1933 (‘Securities Act’) [15\, U.S.C. \\u00a7 77q(a)]; violated Advisers Act Sections 206(1) and 206(2) [15\, U.S.C. \\u00a7\\u00a7 80b-6(1) and 80b-6(2)] or, in the alternative, aided and abetted\, Arete Advisors’ violations of Advisers Act Sections 206(1) and 206(2) [15\, U.S.C. \\u00a7\\u00a7 80b-6(1) and 80b-6(2)]; and aided and abetted Arete Wealth’s\, violations of Exchange Act Section 17(a) [15 U.S.C. \\u00a7 78q(a)] and Rule 17a-4\, thereunder [17 C.F.R. \\u00a7 240.17a-4];
