Brokerage Owner Hid Compliance Woes Before Sale, Suit Says

By Emilie Ruscoe (March 19, 2024, 9:44 AM EDT) -- Financial services company Arete Wealth Inc. has sued the previous owner of a brokerage firm it acquired, claiming the former owner papered over widespread compliance issues at his firm that ultimately led to an "onslaught of costly arbitrations" after the sale closed....

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