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DID DENNIS SHANE MCMILLAN CAUSE YOU INVESTMENT LOSSES?

Dennis McMillan Of Arete Wealth Management, LLC And Formerly With Signator Investors, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Dennis McMillan of Arete Wealth Management, LLC?

Dennis McMillan (CRD #5126963) who is currently registered with Arete Wealth Management, LLC and located in Englewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Arete Wealth Management, LLC, Dennis McMillan was associated with Signator Investors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  

Dennis McMillan Customer Complaints

Dennis McMillan has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Dennis McMillan’s 3 customer complaints was settled in favor of investors. One of Dennis McMillan’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Dennis McMillan’s current employer Arete Wealth Management, LLC for investment losses caused by the alleged misconduct.

Allegations Against Dennis McMillan

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations of alternative investments.
  • Client alleged that Dennis McMillan failed to roll over the death benefit from a variable annuity following the death of the husband and instead extended the policy.
  • Client alleged unsuitable investment recommendations of variable annuities and alternative investments.

Dennis McMillan Red Flags & Your Rights As An Investor

Of course, Dennis McMillan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dennis McMillan at Arete Wealth Management, LLC and Signator Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis McMillanhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arete Wealth Management, LLC and Signator Investors, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Arete Wealth Management, LLC Due To Dennis McMillan

If you have questions about Arete Wealth Management, LLC, Signator Investors, Inc., and/or Dennis McMillan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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