SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering
January 18, 2025
January 18, 2025
WASHINGTON, Jan. 18 -- The Securities and Exchange Commission issued the following news release on Jan. 17, 2025:
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One additional individual agreed to resolve the SEC's charges for unregistered broker activity
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The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Ad . . .
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One additional individual agreed to resolve the SEC's charges for unregistered broker activity
* * *
The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Ad . . .