Nex Systems
Type not stated

ARETE WEALTH MANAGEMENT LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021316801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arete Wealth Management LLC, Respondent CRD No. 44856 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Arete Wealth Management LLC submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2010021316801finra.orgdata-portal.finra.org

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