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About Unbo
Biography
I am the General Counsel and Chief Compliance Officer for Arete Wealth Management, LLC, a broker-dealer (member FINRA, SIPC and NFA). Previously, I was Senior Enforcement Counsel in FINRA's Departement of Enforcement. I began my legal career as a criminal prosecutor with the Cook County State's Attorney's Office, and was last assigned to the Special Prosecutions Bureau, Complex Financial Crimes and Government Corruption Unit.
Practice Areas
3
Practice Areas
Financial Markets and Services
85%
24 years | 200 cases
Securities and Investment Fraud
10%
24 years | 200 cases
Securities Offerings
5%
14 years | 5 cases
Fees and Rates
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Chat withLicenses
Licensed in Illinois for 28 years
State: Illinois
Acquired: 1997
No misconduct found
Location
Arete Wealth Management
1101 West Lake Street, First Floor, Chicago, IL, 60607
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Experience
Honors
2012
Above and Beyond Award, FINRA
Work Experience
2013 - Present
Chief Compliance Officer and General Counsel, Arete Wealth Management, LLC
2003 - 2012
Department of Enforcement, Senior Regional Counsel, Finra (Financial Industry Regulatory Authority)
1998 - 2003
Assistant State's Attorney, Cook County State Attorney's Office
Associations
1997 - Present
Korean Bar AssociationMember
Education
2007
Chicago-Kent College of Law Illinois Institute of Technology
LL.M - Master of Laws
1997
Loyola University Chicago
JD - Juris Doctor
1992
Oberlin College
BA
Speaking Engagements
2012
BD Week
New FINRA Suitability Rule
2012
BD Week
Detecting and Preventing Churning
2011
Chicago Bar Association
New FINRA Rules
Languages
English