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Brief
SEC Charges Against Arete Wealth Management LLC The U.S. Securities and Exchange Commission charged Arete Wealth Management LLC, its affiliated investment adviser, their Chief Compliance Officer, and several representatives with fraud, registration violations, and aiding and abetting recordkeeping violations. Arete Wealth Management was charged with recordkeeping violations, while its affiliates were accused of violating federal securities laws related to a coverup of fraudulent conduct and compliance failures. The SEC also targeted individual defendants for selling unapproved securities and making false statements to investors.
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