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January 17, 2025

Securities And Exchange Commission v. Arete Wealth Management, LLC. et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. April 08, 2025

    Compliance Chief Wants Out Of SEC Fraud Suit

    The chief compliance officer and general counsel of a wealth management firm has urged an Illinois federal judge to dismiss him from a U.S. Securities and Exchange Commission suit over an alleged offering fraud by former representatives at his firm, saying "the commission does not even understand what its own pleading burden in this case is."

1 other articles on this case. View all »

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